1. Rule Selection and Alignment

This involves aligning controls across the enterprise by selecting appropriate rules and ensuring agreement between compliance and IT organizations responsible for system maintenance, provisioning, and user management.

• Emphasizes the importance of starting discussions with the alignment of controls, where stakeholders agree on the rules.
• The process may involve working with compliance teams and internal and external auditors to ensure alignment with high-level risks and expectations.

2. Segregation of Duties Analysis and Risk Assessment

This step involves examining the current state of the system, considering factors like digital transformation progress and SoD maturity stages.

• Assess risks based on agreed-upon controls and rules, analyzing user roles and permissions to identify conflicts.
• The analysis may vary depending on whether the company is new to Oracle or already using cloud ERP systems like Oracle Cloud.

3. False Positives Management and Logic Development

After selecting rules, addressing false positives that may arise during analysis is crucial.

• Logic development is necessary to handle complex scenarios, such as security contexts and active privileges within ERP systems like Oracle ERP. Cloud
• The complexity of handling false positives, especially in cloud ERP systems, and the need for logic to eliminate them effectively.

4. Remediation of Conflicts and Risk Mitigation

Once conflicts and risks are identified, remediation actions are implemented.

• Compensating controls, such as monitoring in SafePaaS, are used to mitigate risks associated with overprivileged users.
• Remediation efforts focus on reducing risk exposure, especially for service accounts and users with excessive privileges.

5. SoD Review and Corrective Actions

A broader team, including role owners responsible for internal controls within operations, conducts a review of SoD conflicts.

• The team collaborates to determine corrective actions, such as modifying roles or mitigating risks, based on the analysis findings.
• Workflow management tools like those in SafePaaS promote collaboration between central compliance and field teams, ensuring timely and accurate corrective actions.

6. Integration with IT Service Management (ITSM) and Corrective Actions

Integrating with ITSM platforms like ServiceNow enables seamless communication and implementation of corrective actions identified during the SoD review phase.

• Corrective actions are accurately recorded and reported back into the compliance system, ensuring compliance with audit requirements.

7. Audit Analytics and Verification

Audit analytics solutions provided by SafePaaS are leveraged to reconcile reported risks, corrective actions, and compliance work.

• Internal auditors and compliance teams verify the completion and effectiveness of corrective actions, preparing for external audit reviews.
• The process ensures alignment between audit findings and effective actions to mitigate risks.

Success Story

Through its partnership with SafePaaS, the organization successfully implemented a modern approach to the segregation of duties and audits. Leveraging SafePaaS’s automation capabilities, the organization effectively segregated duties and maintained a control hierarchy in its Oracle Cloud ERP environment. This streamlined its processes, ensured efficient access management, and provided robust evidence for control effectiveness and external auditors.

This customer’s journey exemplifies the importance of prioritizing access control and control effectiveness in cloud ERP migration. By diligently following the outlined steps and leveraging appropriate tools, solutions and expertise, organizations can successfully steer the challenges of cloud transformation while maintaining the highest levels of control and risk management. With the right approach and partnerships, organizations can reap the benefits of a modern operating model without compromising security or compliance.