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SAP Audit Management A Preview SAP AG November 2013
Customer
1
Agenda
Business Challenges The Idea The Solution Roadmap Demo
© 2013 SAP AG. All rights reserved.
Customer
2
Disclaimer
The information in this document is confidential and proprietary to SAP and may not be disclosed without the permission of SAP. This document is not subject to your license agreement or any other service or subscription agreement with SAP. SAP has no obligation to pursue any course of business outlined in this document or any related presentation, or to develop or release any functionality mentioned therein. This document, or any related presentation and SAP's strategy and possible future developments, products and or platforms directions and functionality are all subject to change and may be changed by SAP at any time for any reason without notice. The information on this document is not a commitment, promise or legal obligation to deliver any material, code or functionality. This document is provided without a warranty of any kind, either express or implied, including but not limited to, the implied warranties of merchantability, fitness for a particular purpose, or non-infringement. This document is for informational purposes and may not be incorporated into a contract. SAP assumes no responsibility for errors or omissions in this document, except if such damages were caused by SAP intentionally or grossly negligent. All forward-looking statements are subject to various risks and uncertainties that could cause actual results to differ materially from expectations. Readers are cautioned not to place undue reliance on these forward-looking statements, which speak only as of their dates, and they should not be relied upon in making purchasing decisions.
© 2013 SAP AG. All rights reserved.
Customer
3
SAP solutions for governance, risk, and compliance Manage, protect, and perform SAP Access Control
SAP Process Control
SAP Risk Management
SAP Audit Management
Manage access risk and prevent fraud
Ensure effective controls and ongoing compliance
Preserve and grow value
Drive a unified audit management function
SAP Fraud Management
SAP Global Trade Services
SAP Nota Fiscal Eletrónica
Achieve effective fraud management
Optimize global trade and screen restricted parties
Meet electronic invoicing requirements for Brazil
SAP GRC Access Approver (mobile)
© 2013 SAP AG. All rights reserved.
SAP GRC Policy Survey (mobile)
SAP Sanctioned-Party List (mobile)
Customer
4
Critical Business Issues to be considered Maintaining audit focus on business critical issues 1 • Identifying strategic risks through effective account management • Focusing audit accountability on “Big Tickets”
Leveraging technology to improve internal audit effectiveness • Only 20% of management believes audit’s performance in leveraging technology (automation, data and advanced analytics) is strong 1 • Lack of technology to review and analyze audit data • Audit tools with poor usability require advance user training, skill sets, and as result of it, many audit experts still use manual procedures to manage audits • Poor knowledge management result in audit delays and lower audit performance
Managing audit resources is increasingly important 1 • Ongoing budget pressure and constant need to improve effectiveness of team • Retention requires innovation and effective processes
Managing effective relationships with stakeholders • Increased pressure to move from “policeman” to “trusted advisor” role 1. Pulse of the Profession – A Look Ahead at 2013, IIA Audit Executive Center November 2012
© 2013 SAP AG. All rights reserved.
Customer
5
SAP Audit Management – The Idea Description SAP Audit Management unlocks the enterprise information for Internal Audit departments and supports audit experts in their day-to-day activities with an easy to use. collaborative, and risk-based approach towards audit solution leveraging cloud and mobile technologies. It is designed by and developed for audit practitioners across the world. Capabilities Support and bring the existing audit process of an organization to “the-next-level” with an easy to use audit software Provide a risk-based approach towards audit planning. Support the management of audits, working papers, findings, and follow-ups. Move from a functional audit solution approach to a collaborative software solution to increase effectiveness of audit practitioners and support them in developing best practices Key Differentiators The easy-to-use UI which will significantly improve the auditors’ efficiency Attractive and state of the art usability to increase tool utilization Intelligent system & search that provides active suggestions based on historic audit information Mobile scenarios which allow the auditors to focus on analyzing the data, rather than collecting the information Contribution of SAP HANA Search structured and unstructured information during audit investigations Detect and predict patterns (with SAP Fraud Management) to streamline the audit planning in the organization Audit Analytics for big data supports audit experts collect evidence from vast amount of transaction data. © 2013 SAP AG. All rights reserved.
Contribution to UX/Mobile/Social State-of-the-art UI technology (SAPUI5) and patterns (KPI Cockpits) Mobile scenarios where applicable, e.g. in work paper management Leverage social knowledge management, tagging and collaborative features where applicable. Customer
6
SAP Audit Management – Current Release
Mobile enablement – you can you use the solution in multiple devices with easy-to-access. Full coverage of the audit roadmap – planning, preparation, execution, reporting, and followup. Flexible Audit Universe provides you a single source of the audits and a global monitor of the audit requests. Rolling Audit Plan Powerful Working Paper Management – you can create working paper simply via drag & drop, access working paper via single click, support manager review Easy to address Finding and get it tracked. Global monitoring of the Finding and Follow-Up. Defined Quality Gates to meet IIA Standards Dashboard provides you deeply analytics capability. Search – you can reach your target data via the simple search and 1 click only Good usability will significantly improve the efficiency
© 2013 SAP AG. All rights reserved.
Customer
7
SAP Audit Management Product road map overview - key themes and capabilities Continuous Auditing SAP Audit Management (powered by SAP HANA)
End-to-End Offline Solution
Predictive Audit Solution
Enterprise Compliance Repository SAP Risk Management
Audit Analytics for Big Data SAP Access Control
Collaborative Audit Solution
SAP Process Control
Audit Time Reporting and Expense Management
Today
Planned Innovations
Future Direction
(Release 1.0) This is the current state of planning and may be changed by SAP at any time. © 2013 SAP AG. All rights reserved.
Customer
8
Planned innovations End-to-End Offline Solution
Entire offline solution Scope
Key benefits
Enable end-to-end offline support for Audit Management
Enable accessibility everywhere. Free the bottleneck of the network, give auditor more time to focus on audit activity Extend the mobility, increase day-to-day efficiency
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
9
Planned innovations Enterprise Compliance Repository
Enterprise Compliance Repository Scope
Key benefits
Shared compliance data repository
Reduced overall cost of ownership
Configurable user interface
Reduced cost of training; ability to share staff
Compliance repository management
Reduced configuration cost Easier adaptation to specific requirements Reduced time to value
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
10
Planned innovations Integrated Risk Assessment
Integrated Risk Assessment Scope
Key benefits
Integrate Risk Management module
Drive risk-based audit approach
Open interface to consume Risk Assessment result
Leverage company Risk Management achievement
Support company risk profile
Configurable risk profile enable company risk appetite to be supported systematically
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
11
Planned innovations Audit Analytics for Big Data
Audit Analytics for Big Data Scope
Key benefits
Integrated analytics capability
Higher data volumes can be managed at greater speed
Audit Analytics powered by the SAP HANA platform
Investments in HANA can now be utilized with SAP Audit Management
Integration with Fraud Management
Power and speed to perform complicated audit analysis based on the SAP HANA database Audit Analytics spans across applications of SAP Business Suite (integrated analytics)
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
12
Planned innovations Audit Time Reporting and Expense Management
Audit Time Reporting and Expense Management Scope
Key benefits
Audit Time Reporting and Expense Management
Track and report auditor time and expenses for audits, training, and etc. Make audits more efficient and effective by monitoring performance of auditors Ensure audit planned budgets are under control
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
13
SAP Audit Management Product road map overview - key themes and capabilities Continuous Auditing SAP Audit Management
End-to-End Offline Solution
(powered by SAP HANA)
Predictive Audit Solution
Enterprise Compliance Repository SAP Risk Management
Audit Analytics for Big Data SAP Access Control
Collaborative Audit Solution
SAP Process Control
Audit Time Reporting and Expense Management
Today
Planned Innovations
FUTURE DIRECTION
(Release 1.0) This is the current state of planning and may be changed by SAP at any time. © 2013 SAP AG. All rights reserved.
Customer
14
SAP Audit Management Future direction Continuous Auditing
Continuous Auditing Leverage the integrated solution to provide continuous solution. Release audit workforce to more strategic areas Enlarge the continuous audit area consistently
Predictive Audit Solution
Predictive Audit Solution Embrace real-time, predictive monitoring functions Extend monitoring to include unstructured data and social media
Collaborative Audit Solution Leverage the latest technology to support the collaboration of the audit experts and increase the efficiency significantly. Improve the transparency and support auditor convert role from “policeman” to “trusted advisor”.
Collaborative Audit Solution
FUTURE DIRECTION This is the current state of planning and may be changed by SAP at any time. © 2013 SAP AG. All rights reserved.
Customer
15
Summary
SAP Audit Management is target to provide a easy-touse software for audit experts in order to increase the efficiency. Support and bring the existing audit process of an organization to “the-next-level” with an easy to use audit software Provide a risk-based approach towards audit planning. Support the management of audits, work papers and findings (documentation & follow-up) Move from a functional audit solution approach to a collaborative software solution to increase effectiveness of audit practitioners and support them in developing best practices Leverage the technology and big data to promote the audit efficiency.
This is the current state of planning and may be changed by SAP at any time. © 2013 SAP AG. All rights reserved.
Customer
16
Live Demo
Demo
© 2013 SAP AG. All rights reserved.
Customer
17
Thank you
Contact information: Shiguo Wang ([email protected])
© 2013 SAP AG. All rights reserved.
No part of this publication may be reproduced or transmitted in any form or for any purpose without the express permission of SAP AG. The information contained herein may be changed without prior notice. Some software products marketed by SAP AG and its distributors contain proprietary software components of other software vendors. National product specifications may vary. These materials are provided by SAP AG and its affiliated companies ("SAP Group") for informational purposes only, without representation or warranty of any kind, and SAP Group shall not be liable for errors or omissions with respect to the materials. The only warranties for SAP Group products and services are those that are set forth in the express warranty statements accompanying such products and services, if any. Nothing herein should be construed as constituting an additional warranty. SAP and other SAP products and services mentioned herein as well as their respective logos are trademarks or registered trademarks of SAP AG in Germany and other countries. Please see http://www.sap.com/corporate-en/legal/copyright/index.epx#trademark for additional trademark information and notices.
© 2013 SAP AG. All rights reserved.
Customer
19
Customer
1
Agenda
Business Challenges The Idea The Solution Roadmap Demo
© 2013 SAP AG. All rights reserved.
Customer
2
Disclaimer
The information in this document is confidential and proprietary to SAP and may not be disclosed without the permission of SAP. This document is not subject to your license agreement or any other service or subscription agreement with SAP. SAP has no obligation to pursue any course of business outlined in this document or any related presentation, or to develop or release any functionality mentioned therein. This document, or any related presentation and SAP's strategy and possible future developments, products and or platforms directions and functionality are all subject to change and may be changed by SAP at any time for any reason without notice. The information on this document is not a commitment, promise or legal obligation to deliver any material, code or functionality. This document is provided without a warranty of any kind, either express or implied, including but not limited to, the implied warranties of merchantability, fitness for a particular purpose, or non-infringement. This document is for informational purposes and may not be incorporated into a contract. SAP assumes no responsibility for errors or omissions in this document, except if such damages were caused by SAP intentionally or grossly negligent. All forward-looking statements are subject to various risks and uncertainties that could cause actual results to differ materially from expectations. Readers are cautioned not to place undue reliance on these forward-looking statements, which speak only as of their dates, and they should not be relied upon in making purchasing decisions.
© 2013 SAP AG. All rights reserved.
Customer
3
SAP solutions for governance, risk, and compliance Manage, protect, and perform SAP Access Control
SAP Process Control
SAP Risk Management
SAP Audit Management
Manage access risk and prevent fraud
Ensure effective controls and ongoing compliance
Preserve and grow value
Drive a unified audit management function
SAP Fraud Management
SAP Global Trade Services
SAP Nota Fiscal Eletrónica
Achieve effective fraud management
Optimize global trade and screen restricted parties
Meet electronic invoicing requirements for Brazil
SAP GRC Access Approver (mobile)
© 2013 SAP AG. All rights reserved.
SAP GRC Policy Survey (mobile)
SAP Sanctioned-Party List (mobile)
Customer
4
Critical Business Issues to be considered Maintaining audit focus on business critical issues 1 • Identifying strategic risks through effective account management • Focusing audit accountability on “Big Tickets”
Leveraging technology to improve internal audit effectiveness • Only 20% of management believes audit’s performance in leveraging technology (automation, data and advanced analytics) is strong 1 • Lack of technology to review and analyze audit data • Audit tools with poor usability require advance user training, skill sets, and as result of it, many audit experts still use manual procedures to manage audits • Poor knowledge management result in audit delays and lower audit performance
Managing audit resources is increasingly important 1 • Ongoing budget pressure and constant need to improve effectiveness of team • Retention requires innovation and effective processes
Managing effective relationships with stakeholders • Increased pressure to move from “policeman” to “trusted advisor” role 1. Pulse of the Profession – A Look Ahead at 2013, IIA Audit Executive Center November 2012
© 2013 SAP AG. All rights reserved.
Customer
5
SAP Audit Management – The Idea Description SAP Audit Management unlocks the enterprise information for Internal Audit departments and supports audit experts in their day-to-day activities with an easy to use. collaborative, and risk-based approach towards audit solution leveraging cloud and mobile technologies. It is designed by and developed for audit practitioners across the world. Capabilities Support and bring the existing audit process of an organization to “the-next-level” with an easy to use audit software Provide a risk-based approach towards audit planning. Support the management of audits, working papers, findings, and follow-ups. Move from a functional audit solution approach to a collaborative software solution to increase effectiveness of audit practitioners and support them in developing best practices Key Differentiators The easy-to-use UI which will significantly improve the auditors’ efficiency Attractive and state of the art usability to increase tool utilization Intelligent system & search that provides active suggestions based on historic audit information Mobile scenarios which allow the auditors to focus on analyzing the data, rather than collecting the information Contribution of SAP HANA Search structured and unstructured information during audit investigations Detect and predict patterns (with SAP Fraud Management) to streamline the audit planning in the organization Audit Analytics for big data supports audit experts collect evidence from vast amount of transaction data. © 2013 SAP AG. All rights reserved.
Contribution to UX/Mobile/Social State-of-the-art UI technology (SAPUI5) and patterns (KPI Cockpits) Mobile scenarios where applicable, e.g. in work paper management Leverage social knowledge management, tagging and collaborative features where applicable. Customer
6
SAP Audit Management – Current Release
Mobile enablement – you can you use the solution in multiple devices with easy-to-access. Full coverage of the audit roadmap – planning, preparation, execution, reporting, and followup. Flexible Audit Universe provides you a single source of the audits and a global monitor of the audit requests. Rolling Audit Plan Powerful Working Paper Management – you can create working paper simply via drag & drop, access working paper via single click, support manager review Easy to address Finding and get it tracked. Global monitoring of the Finding and Follow-Up. Defined Quality Gates to meet IIA Standards Dashboard provides you deeply analytics capability. Search – you can reach your target data via the simple search and 1 click only Good usability will significantly improve the efficiency
© 2013 SAP AG. All rights reserved.
Customer
7
SAP Audit Management Product road map overview - key themes and capabilities Continuous Auditing SAP Audit Management (powered by SAP HANA)
End-to-End Offline Solution
Predictive Audit Solution
Enterprise Compliance Repository SAP Risk Management
Audit Analytics for Big Data SAP Access Control
Collaborative Audit Solution
SAP Process Control
Audit Time Reporting and Expense Management
Today
Planned Innovations
Future Direction
(Release 1.0) This is the current state of planning and may be changed by SAP at any time. © 2013 SAP AG. All rights reserved.
Customer
8
Planned innovations End-to-End Offline Solution
Entire offline solution Scope
Key benefits
Enable end-to-end offline support for Audit Management
Enable accessibility everywhere. Free the bottleneck of the network, give auditor more time to focus on audit activity Extend the mobility, increase day-to-day efficiency
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
9
Planned innovations Enterprise Compliance Repository
Enterprise Compliance Repository Scope
Key benefits
Shared compliance data repository
Reduced overall cost of ownership
Configurable user interface
Reduced cost of training; ability to share staff
Compliance repository management
Reduced configuration cost Easier adaptation to specific requirements Reduced time to value
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
10
Planned innovations Integrated Risk Assessment
Integrated Risk Assessment Scope
Key benefits
Integrate Risk Management module
Drive risk-based audit approach
Open interface to consume Risk Assessment result
Leverage company Risk Management achievement
Support company risk profile
Configurable risk profile enable company risk appetite to be supported systematically
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
11
Planned innovations Audit Analytics for Big Data
Audit Analytics for Big Data Scope
Key benefits
Integrated analytics capability
Higher data volumes can be managed at greater speed
Audit Analytics powered by the SAP HANA platform
Investments in HANA can now be utilized with SAP Audit Management
Integration with Fraud Management
Power and speed to perform complicated audit analysis based on the SAP HANA database Audit Analytics spans across applications of SAP Business Suite (integrated analytics)
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
12
Planned innovations Audit Time Reporting and Expense Management
Audit Time Reporting and Expense Management Scope
Key benefits
Audit Time Reporting and Expense Management
Track and report auditor time and expenses for audits, training, and etc. Make audits more efficient and effective by monitoring performance of auditors Ensure audit planned budgets are under control
PLANNED INNOVATIONS © 2013 SAP AG. All rights reserved.
Customer
13
SAP Audit Management Product road map overview - key themes and capabilities Continuous Auditing SAP Audit Management
End-to-End Offline Solution
(powered by SAP HANA)
Predictive Audit Solution
Enterprise Compliance Repository SAP Risk Management
Audit Analytics for Big Data SAP Access Control
Collaborative Audit Solution
SAP Process Control
Audit Time Reporting and Expense Management
Today
Planned Innovations
FUTURE DIRECTION
(Release 1.0) This is the current state of planning and may be changed by SAP at any time. © 2013 SAP AG. All rights reserved.
Customer
14
SAP Audit Management Future direction Continuous Auditing
Continuous Auditing Leverage the integrated solution to provide continuous solution. Release audit workforce to more strategic areas Enlarge the continuous audit area consistently
Predictive Audit Solution
Predictive Audit Solution Embrace real-time, predictive monitoring functions Extend monitoring to include unstructured data and social media
Collaborative Audit Solution Leverage the latest technology to support the collaboration of the audit experts and increase the efficiency significantly. Improve the transparency and support auditor convert role from “policeman” to “trusted advisor”.
Collaborative Audit Solution
FUTURE DIRECTION This is the current state of planning and may be changed by SAP at any time. © 2013 SAP AG. All rights reserved.
Customer
15
Summary
SAP Audit Management is target to provide a easy-touse software for audit experts in order to increase the efficiency. Support and bring the existing audit process of an organization to “the-next-level” with an easy to use audit software Provide a risk-based approach towards audit planning. Support the management of audits, work papers and findings (documentation & follow-up) Move from a functional audit solution approach to a collaborative software solution to increase effectiveness of audit practitioners and support them in developing best practices Leverage the technology and big data to promote the audit efficiency.
This is the current state of planning and may be changed by SAP at any time. © 2013 SAP AG. All rights reserved.
Customer
16
Live Demo
Demo
© 2013 SAP AG. All rights reserved.
Customer
17
Thank you
Contact information: Shiguo Wang ([email protected])
© 2013 SAP AG. All rights reserved.
No part of this publication may be reproduced or transmitted in any form or for any purpose without the express permission of SAP AG. The information contained herein may be changed without prior notice. Some software products marketed by SAP AG and its distributors contain proprietary software components of other software vendors. National product specifications may vary. These materials are provided by SAP AG and its affiliated companies ("SAP Group") for informational purposes only, without representation or warranty of any kind, and SAP Group shall not be liable for errors or omissions with respect to the materials. The only warranties for SAP Group products and services are those that are set forth in the express warranty statements accompanying such products and services, if any. Nothing herein should be construed as constituting an additional warranty. SAP and other SAP products and services mentioned herein as well as their respective logos are trademarks or registered trademarks of SAP AG in Germany and other countries. Please see http://www.sap.com/corporate-en/legal/copyright/index.epx#trademark for additional trademark information and notices.
© 2013 SAP AG. All rights reserved.
Customer
19
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