IBM Software Group IBM Workplace for Business Controls

IBM Software Group Agenda § Introduction to new features in 2. 6 § Typical deployment environment § Demo: Survey § Demo: Alphablox Executive Views and Reports §Q&A 2 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

Market CP IBM Software Group IPMT Objectives for WBCR 2. 6 Objectives New to WBCR 2. 6 1. Content to support Co. BIT and IT Controls Inclusion of Co. BIT license ISACA relationship 2. Survey capabilities Inclusion of Workplace Forms – based survey solution 3. Reporting Enhancements Addition of Alphablox Executive View and ability to add customized Alphablox reports. 4. Globalization Extended Language Support – 24 languages including Simplified and Traditional Chinese, Japanese, Korean, French, English, German, Italian, Spanish, Brazilian Portuguese, Arabic, Czech, Danish, Dutch, Finnish, Greek, Hebrew, Hungarian, Norwegian, Polish, Portuguese, Russian, Swedish, Turkish Japan SOX 5. Extended support for Federal Market Oracle support Available in English on April 28 th Available in other languages on June 26 th 3 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group What’s new in 2. 6 § § § § Oracle support Survey capability Alphablox Executive views Alphablox Report launcher Versioning rules (2. 5. 0. 2) Evaluation history (2. 5. 0. 2) Global Settings Layout Associate business unit during import § Certification at subprocess level § Attachment at the control level 4 WBCR 2. 6 Tech. Talk § Attachments stored in Database § Display associated financial information with the subprocess detail § Status field for Procedure evaluation § Procedure type: Walkthrough, Interview, Inquiry, Sample. § Group II language support § Defects IBM Internal © 2006 IBM Corporation

IBM Software Group New home page 5 WBCR 2. 6 Tech. Talk IBM Internal

IBM Software Group Support Oracle as data source § Oracle 9 i Release 2

IBM Software Group Admin portlet – Versioning rules (2. 5. 1. 2) Available rules on: § Remove audit-trail § Reset Document Complete status § Clear Certifications § Remove Control evaluation with choices § Remove Procedure evaluation with choices § Remove Samples with choices 7 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Admin portlet – New layout for Global settings § More global settings available § Settings are grouped by function areas for ease of use 8 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Admin portlet – Catalog import During Catalog import, the admin can optionally specify one or more business units to associate the importing data with. We used to require the user to make the association on the Documentation tab after the catalog imports. 9 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group UI – Certification History ( 2. 5. 1. 2) User can

IBM Software Group UI – Evaluation History ( 2. 5. 1. 2) User can view the history of evaluation and observation for controls, and evaluation history for procedures. 11 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Survey Capability 12 WBCR 2. 6 Tech. Talk IBM Internal ©

IBM Software Group Survey capability § 3 survey tabs, 3 portlets § § 13 § My Surveys § Survey jobs Use Workplace Forms 2. 5 Offline support ‘Survey Job’ for reuse Survey ownership WBCR 2. 6 Tech. Talk § § § Survey job ownership E-mail notifications Support external users Simple respondent statistics Owner can reject a survey result and ask for re-take IBM Internal © 2006 IBM Corporation

IBM Software Group Survey: Create survey § Do it online and offline § Reusable questions § Question types: § Single choice § Multiple choice § Free text § Required questions § Follow up question § Assign owner 14 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Survey: Create survey job § Use the questions from a survey § Specify ‘start date’ and ‘end date’ for the survey § Assign respondents § Internal § External § Configure notification § Associate WBCR context § Assign owner § Accept or reject response § Simple statistics report § 3 -step process 15 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Survey: Create survey job – Step 1 16 WBCR 2. 6

IBM Software Group Survey: Create survey job – Step 2 17 WBCR 2. 6

IBM Software Group Survey: Create survey job – Step 3 18 WBCR 2. 6

IBM Software Group Survey: Take survey § Workplace Forms viewer needed on the client machine § Internal user can take survey online or save the survey form locally to take survey offline later § External users receive survey through e-mails § Automatic e-mail reminder 19 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Survey status report Survey job owner can view the respondent status

IBM Software Group Alphablox 21 WBCR 2. 6 Tech. Talk IBM Internal © 2006

IBM Software Group Alphablox Executive Views § 4 portlets § Overall Effective § Control Impact § Evaluation status § Follow-up § Analytical § Graphical § Multidimensional § Interactive § Configurable 22 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Alphablox Executive Views – Menu bar Statistics Legend 23 WBCR 2.

IBM Software Group Alphablox Executive Views – Interactive Charts are interactive. Pull down menu

IBM Software Group Alphablox Executive Views - Drill through 25 WBCR 2. 6 Tech.

IBM Software Group Alphablox Executive Views – Swap axis Looking at the data from a different view: From business unit point of view Vs From control status point of view 26 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Alphablox Executive Views – Control Impact For each business unit: shows the number of controls that have the different impacts: Deficiency, Material Deficiency and Significant Deficiency 27 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Alphablox Executive Views – Evaluation Status For each business unit: shows the number of controls that have been evaluated or not evaluated 28 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Alphablox Executive Views – Controls with Follow-up For each business unit: shows the number of controls that have not been evaluated and past due 29 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Alphablox Relational Reports and Report Launcher § 6 relational reports § 2 Sample reports § Real-time data § Support custom reports § Note: Not all Crystal reports are available 30 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Alphablox Relational report – Ineffective Controls 31 WBCR 2. 6 Tech.

IBM Software Group Alphablox Relational report – Bookmarks § Bookmarks can be saved as

IBM Software Group Alphablox Relational report – Interactive Mode 33 WBCR 2. 6 Tech.

IBM Software Group Alphablox Relational report – Add custom reports Simply need to drop the custom JSP in the directory like: C: Web. SpherePortal. Serverinstalled. AppsAlphablox _w Portlets_PA_1_0_1 LC. earBcr. Abx. warbloxcustom § Provided Sample JSPs that can be directly modified and re-used § New report titles and column headers can be added to the properties files § Need to know the WBCR views, SQL, Alphablox tags, etc. 34 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Typical Deployment Environment Crystal Enterprise Server Content Manager 8. 3 * Only for DB 2 nstallations Crystal for large scale * Only Reporting deployments for attachment management Corporate Directory Server IBM HTTP Server 2. 0. 47. 1 Corporate Directory Server WP 5. 1. 0. 1 Server Alphablox Server Workplace Forms API 35 WBCR 2. 6 Tech. Talk DB 2/Oracle Server IBM Internal © 2006 IBM Corporation

IBM Software Group Demo: Survey and Alphablox 36 WBCR 2. 6 Tech. Talk IBM

IBM Software Group IBM Web. Sphere Portal Live! § Over 120 worldwide events starting in May § Full day event with the choice of six exciting breakout sessions § Invite customers to learn more about IBM Web. Sphere Portal Version 6. 0, IBM Workplace Forms, Portlet Factory, IBM Workplace Collaboration Services, IBM Workplace for Business Strategy Execution, IBM Lotus Notes Access for SAP solutions and many more exciting technologies § Business Partner Participation § For launch event information visit http: //www. ibm. com/websphere/portal_live 37 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Questions ? Additional Questions Contact: Jennie_Dymacek@us. ibm. com WPLC Tech. Talks recordings are now available in Podcast format for ease of delivery! Check out the mp 3 s available now at: http: //podcast. webahead. ibm. com/podcast_view. do? s et. Page=pages. podcast_edit&podcast. Id=1100 38 WBCR 2. 6 Tech. Talk IBM Internal © 2006 IBM Corporation

IBM Software Group Supported operating systems: Windows and AIX are currently System Requirements Client support: Microsoft Internet Explorer 6. 1 (Windows) Microsoft Internet Explorer 5. 5 SP 2 (Windows) Mozilla 1. 3 Server software requirements (Customer's servers must have these software prerequisites installed prior to installation of software). IBM Web. Sphere Portal and LDAP Server Microsoft Windows 2000 Server or Advanced Server with Service Pack 4 Windows 2003 Standard Server IBM AIX V 5. 2 and AIX V 5. 2 IBM Web. Sphere Portal Server Extend V 5. 1. 0. 1 with included Web. Sphere Application Server V 5. 1. 1. 4 and WBISF 5. 1. 1. 2 IBM DB 2 UDB EE V 8. 2 with fixpack 3 LDAP servers Support all LDAP Servers supported by IBM Web. Sphere Portal Server Extend v 5. 1. 0. 1 Database Server Windows 2000 with Service Pack 4 Windows 2003 Server IBM AIX V 5. 2 IBM DB 2 Universal Database EE v 8. 2 with fix pack 3 or Oracle 9 i Release 2 with Patch Set Version 9. 2. 0. 4 for Windows and AIX 39 WBCR 2. 6 Tech. Talk Content Management Server Microsoft Windows 2000 with Service Pack 4 IBM AIX V 5. 2 and AIX V 5. 3 (need AIX v 5. 2 with LM 4 to support Content Manager v 8. 3) IBM Content Manager V 8. 3 IBM DB 2 UDB EE V 8. 2 with fix pack 3 IBM Web. Sphere App Server V 5. 1 with fix packs to V 51. 1. 1 with included IBM HTTP Server 2. 0. 4. 7. 1 or 1. 3. 28 and IBM JVM V 1. 3. 1 License Use Management V 6. 4. 4 Microsoft Visual C++ V 6 or V 7 (Windows), Visual Age C++ V 5 (AIX) Workplace Forms IBM Workplace Forms Server 2. 5 APIs (optionally required for Survey component) Workplace Forms Viewer V 2. 5 on all client machines accessing survey functionality (requires additional 200 MB of disk space) Reporting Server DB 2 Alphablox 8. 2 with update for IBM Workplace for Business Controls & Reporting or Crystal Enterprise 10 (For standard reports) with SP 3 and monthly fix packs or other reporting engine software for customized reporting NOTE: Crystal Enterprise 10 requires IBM DB 2 data store, it will not support the Oracle data store IBM Internal © 2006 IBM Corporation