Transcript ProcessFlow/Smart Notification

Corporate Compliance
Using Lawson ProcessFlow and
Smart Notification
Understanding the Law
The Sarbanes-Oxley Act established new and enhanced standards for corporate
accountability, as well as severe penalties for corporate wrongdoing. Good
corporate governance and ethical business practices are now the law.
Primary Areas of Regulation under Sarbanes-Oxley
Disclosure Controls
• Designed to ensure that required disclosed
information is recorded, processed,
summarized, and reported within the
time periods specified by the SEC.
• Include controls and procedures to help
ensure that the required disclosed
information is accumulated and
communicated to management to allow
timely decisions regarding required
disclosure.
Internal Controls
• Controls that pertain to the preparation of
financial statements for external purposes
that are fairly presented in conformity with
generally accepted accounting principles.
Preservation Controls
• Designed to ensure that all audit records,
material financial transactions, related
communications, working papers, and other
data, is preserved, protected from alteration,
and readily available.
Sarbanes-Oxley – Relevant Sections
Section 404
 Requires management to annually:
• State their responsibility for establishing and maintaining an adequate internal
control structure and procedures for financial reporting
• Conduct an assessment of the effectiveness of the company’s internal controls
and procedures for financial reporting
 Requires the independent auditor to:
• Attest to management’s assertion (requires a framework such as COSO)
Section 409
 Real Time Disclosures:
• Issuers are required to disclose to the public, on an urgent basis, information
on material changes in their financial condition or operations. These disclosures
are to be presented in terms that are easy to understand supported by trend
and qualitative information of graphic presentations as appropriate.
Internal Control Framework
The COSO Framework
COSO identifies five
components of internal control
that need to be in place and
integrated to ensure the
achievement of each of the
three main objectives.
1. Monitoring
2. Information &
Communication
3. Control Activities
4. Risk Assessment
5. Control Environment
Primary Areas of Focus
• Control Activities
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Completion of the documenting of internal controls
Testing and implementing internal controls
Sustaining internal control implementations
Implementation of system based controls
• Monitoring
 Timely review of reports
 Internal audit function
 Proactive notification of material events
• Information and Communication
 Single version of the truth
 Timely distribution of information
Lawson Solutions
Base Systems
 Financials, Procurement, HR/Payroll
 Expense Management, Time Management, etc…
 Reporting & Analytics
ProcessFlow - System based controls and approvals
 Lawson ProcessFlow provides a means of implementing
documented internal controls
 System based controls
 Audit trails are created and can be reported on
Smart Notification - Proactive Monitoring and Reporting
 Time or data event based
 Monitor data for “material events”
 Root cause analysis
Functionality comparison with Process Flow
Capability
•Notifications with rich, actionable content?
•End-user subscribe and customize model?
•Dynamic links into Lawson applications?
•Delivery to a wide range of devices?
•Monitors data from both Lawson and
non-Lawson systems?
•Ability to define and monitor complete
processes / workflow?
•Ability to automatically route workflow
requests?
•Perform automated steps based on
workflow decisions?
Smart Notes
Yes - Focus
Yes
Yes
Yes
Process Flow
No
No
No
No
Yes
No
No
Yes - Focus
No
Yes
No
Yes
ProcessFlow
Lawson ProcessFlow - Packaging
• ProcessFlow Standard
 Every Lawson release 8 customer receives ProcessFlow Standard at
no charge
 ProcessFlow Standard is delivered with the 8.0.X Environment
• ProcessFlow Professional
 Saleable version of ProcessFlow
 Full-capability version of ProcessFlow
• ProcessFlow Solutions
 No charge, licensed products; 28 pre-built processes (flows)
 Available to every ProcessFlow Standard or Professional customers
 Will operate with either ProcessFlow Standard or Professional
ProcessFlow Standard
• Can build processes (flows) from scratch using the
ProcessFlow Designer
• Can not build processes from scratch that contain any of
these three nodes:
 UserNode
 HR UserNode
 Work Object Node
• Can operate and configure processes that contain any of
these three nodes
ProcessFlow Professional
• Full-capability version of ProcessFlow
• Can build processes (flows) from scratch that contain
any node in the ProcessFlow Designer
• Can build processes from scratch for multi-step, multiuser review and approval
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Job requisition
Salary increase
Purchase requisition
Etc.
• Can build processes from scratch that contain these
three nodes:
 UserNode
 HR UserNode
 Work Object Node
Types of Triggers (Standard or Professional)
Automatic
Initiate ProcessFlow as a
by-product of a Lawson application
Action.
e.g. requisition is released, employee
expense approved . . .
Manual
Initiate ProcessFlow as an explicit
result of an employee action.
e.g. Employee “presses” a
button, . . .
ProcessFlow Start
Scheduled
Initiate ProcessFlow in a
Time-based or repeatable
Way.
ProcessFlow Inbasket
• Delivered with both ProcessFlow Standard and
ProcessFlow Professional
• Two versions:
 Web/HTML Inbasket
 Lawson Portal based Inbasket
• Both versions of Inbasket have same functionality
• Both versions of Inbasket only require a web browser
connected to internet/intranet for access
• Only difference is deployment method
• Reviewers and approvers in ProcessFlow do NOT need
to be set-up as Lawson applications users
• Unlimited number of end users
How Do You Build a ProcessFlow?
ProcessFlow Designer
• A Graphical User Interface (GUI) to define a process
• Simulate the process at design time
• Upload the process on the ProcessFlow Server
Repository for server side execution
ProcessFlow Designer: Nodes
• Activity Nodes
AGS, DME (Internet Object Services, IOS)
Email
Message Builder
Work Object Creator
Web Run
• Can be used to integrate with non-Lawson, web-addressable
applications
 User Action
 HR User Action
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• Logical Nodes
 Branching - conditional channeling of data
 Iteration - looping over defined sub-graph
 Assign – basic mapping of variables
ProcessFlow Designer: Salary Change Approval
Can NOT use ProcessFlow
Standard to build a process
from scratch that includes
the User Node(s)
ProcessFlow Metrics
• Track how long to complete each step in a multi-step,
multi-level review and approval workflow process
• Metrics are stored in the database powering the Lawson
applications
• Answer questions to identify bottlenecks:
 “How long does it take to approve purchase requisitions greater than
$1,000 by store, by region?”
• Can be analyzed by:
 Lawson’s Enterprise Performance Management products
 Lawson Smart Notification
 Other reporting and analysis tools
How do I Receive ProcessFlows?
When to use ProcessFlow Web/HTML Inbasket?
• Can be assigned per end user
• Reviewers and approvers that do not use the Lawson
Portal, i.e., LID users, non-Lawson application users
• Non-organizational reviewers and approvers
 Supplier or vendor personnel
 Customer personnel
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Low-frequency reviewers and approvers
Example HTML templates delivered by Lawson
Very customizable
Modified with any HTML editor
HTML skills required
When to use Lawson Portal based ProcessFlow
Inbasket?
•
•
•
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Can be assigned per end user
Reviewers and approvers that do use the Lawson Portal
High-frequency reviewers and approvers
Integrated user experience with Lawson Portal
Quicker and easier to implement
 Only need to “turn on” Lawson Portal based ProcessFlow Inbasket
flag in each person’s RD30 Lawson web user record
• Very customizable with Lawson Design Studio
• Can be modified with any HTML/JavaScript editor
 Do not need Lawson Design Studio
 HTML/JavaScript skills required
ProcessFlow Example
Business Problem
• New and Returning Employee Security Set-up
 Employees initiated the request for access
 Time consuming process
 An average of 60 - 80 new hires or returning employees each
bi-weekly pay cycle
 Small security division staff
Problem Resolution
• Used ProcessFlow Professional (or Standard) to Automate
Security Set-up Process:
 Identifies all new or returning employees
 Verifies Status Code and Process Level
 Creates the user personal profile and web name (RD30) record
 Creates the interface file for use by the current Lightweight
Directory Access Protocol (LDAP) account creation system
 Emails the employee or HR office the logon information
Example
• PHR008 Security Flow
This process can be built
from scratch with
ProcessFlow Standard
Note no User Nodes,
HR User Nodes, or
Work Object Nodes
Smart Notification
Smart Notification
• Proactively monitors data, filters out noise, and
automatically delivers important information
• Simplifies and guarantees reporting, analysis and
information dissemination
• Eliminates uncertainty
Smart Notification makes it easy
Data Sources
Smart Notification
Server
Smart Notification
In-Context Application Links
Functionality comparison with Process Flow
Capability
•Notifications with rich, actionable content?
•End-user subscribe and customize model?
•Dynamic links into Lawson applications?
•Delivery to a wide range of devices?
•Monitors data from both Lawson and
non-Lawson systems?
•Ability to define and monitor complete
processes / workflow?
•Ability to automatically route workflow
requests?
•Perform automated steps based on
workflow decisions?
Smart Notes
Yes - Focus
Yes
Yes
Yes
Process Flow
No
No
No
No
Yes
No
No
Yes - Focus
No
Yes
No
Yes