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The following capabilities are available utilizing ICM:
- Real-Time Dashboard and On-Demand Reporting - Consolidated Dashboard with
real-time visibility, filtered view of control types, and easy drill-down access
to detail.
Compliancy provides graphical feedback about the status of each incident of a workflow process. You'll always
be able to tell, at a glance, the status of the incident, what steps have been
completed, when they were completed, which steps are currently active, and for
how long. Alerts can be generated based on specific criteria to provide an early notification of potential issues and risks.
Compliancy generates
statistical information about workflow processes. It tells you how long, on average, it takes to
complete a process or a particular task within a process. It also tells you the cost of implementing a
process, and the cost of each step in the process. This statistical information enables you to
measure the effectiveness of a process and improve it.
Analyze and distribute control results, status and details with on-demand reporting with built in reports to cover most reporting requirements and customizable to fit your specific needs.
Performance data can be easily
exported to your favorite analytical reporting tool for detailed analysis. This
approach allows you to leverage sophisticated analytical tools and resources for
comprehensive analysis of your security. Analytical tools as simple as
Excel
or comprehensive as SAS or Crystal Decisions
can be used.
- Real-Time Continuous Control Monitoring
- An automated process that analyzes completed tasks and/or its data to generate issues or alerts that a control has been violated or to provide the status on identified controls execution.
- Identification/Assessment Processes - Ability to define templates for customized forms and workflows for collecting information and asssessing risks, compliance requirements or any operational
process that can then feed into the control process implementations.
- Consolidated Controls Management –
Define, implement and access a consolidated view of all control information,
including accounts, processes, controls, assertions and documents in an easy to
navigate relational tree format. Complete automation of control procedures at
the entity, process and transaction level.
- Control Automated Procedures (CAPs)
- Define and execute tasks
that automate and capture information related to a control. A control can have many CAPs to ensure the
client is complying with the indicated control.
A CAP can be scheduled or executed on-demand.
- On-Demand Testing/Audit Management –
Process
tasks that can be scheduled or executed on-demand to test that the control is
being performed as documented. This can
be done either during execution or via sampling of completed
tasks. A complete set of audit processes can be performed and report created on-demand. The reports can be organized in various ways based on the audit, but
typically the audit shows all activities that were considered out of the
"tolerances" that you set and can also be compared with data from other
systems.
- Certification Management –
Process task management of controls to determine if they are still mitigating
their associated risks with defined accountability. Records every control decision, approval,
test point and other control certifications.
- Issues Management – An
automated process that provides a systematic approach to issue resolution from
detective or preventative identification to automated routing for issue
resolution across people in a collaborative framework.
- Documentation Management – The
management of policies, procedures and other documents utilized in control
processes and the documenting/reporting of the control processes,
certifications, testing and audits. ICM
provides its own document versioning system or can be integrated with existing
Document Management System (DMS).
- Customizable Templates – A library of
commonly used workflow templates for compliance controls to enable quick
out-of-the-box startup with the ability to customize existing templates and build new templates for specific requirements.
- Integrated Business Process Management Engine (BPM) – A complete full featured
underlying business process automation engine that provides more robust workflow
creation and management. This allows the
automation and management of integrated control points at the transactional
level that can be integrated into a company’s business processes.
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System Infrastructure
Compliancy employs .Net and Ultimus to create a robust process management
architecture. Since most enterprises depend on a related set of business
processes, the Compliancy architecture has been structured around Process
Objects that can be developed, tested, implemented and updated independently,
without impacting other parts of the application. This approach provides
enormous advantages in flexibility and scalability (see the section on Process
Object Model).
Compliancy is Web services enabled based on the .Net platform. This
provides an easy method to integrate with other applications and services.
On
a lower level, Compliancy uses Microsoft .Net and Ultimus at its core for high
volume and secure transaction processing. Compliancy makes use of Windows
2000/2003 .Net Architecture and technology for scalability, dynamic load
distribution, and redundancy.
The
.Net architecture provides many significant benefits:
- Compliancy becomes
a part of the Windows 2000/2003 operating system. Compliancy uses Ultimus to
manage the business logic as it pertains to the application and uses .Net and
the Windows Clustering and Load Balancing Technologies for the allocation of
resources, scalability, security, and reliability.
- Compliancy is
reliable and highly scalable. Windows 2000 has successfully performed more than
700 million transactions per day.
- .Net allows for
ease in upgrades and maintenance.
- .Net allows
Compliancy to focus on its core application, leaving Microsoft to focus on
resource management, transactional integrity and redundancy.
Compliancy scales from small to large environments. By virtue of the
component-based architecture, the Compliancy Server makes use of several Windows
2000 clustering and high-availability options that suit high volume,
mission-critical installations.
For
large applications, the Multiple Clustered Server configuration can be used.
Large installations need to scale to handle the highest number of concurrent
users and processes. Compliancy uses three technologies provided by Windows 2000
for near-linear scalability and to assure high-availability.
- Network Load
Balancing
distributes the load of incoming HTTP request to a cluster of IIS servers. This
benefits large installations with many users and HTML forms.
The
server cluster also provides the first layer of Fail-over Redundancy by
compensating for IIS server outages through dynamically redistributing the
connections to alternate servers if necessary.
- Application Load Balancing: .Net
provides the Compliancy components the ability to balance objects across a
cluster of servers. New
process or step incidents spawn new instances that are automatically spawned on
cluster nodes by the Microsoft Application Center COM+ router based on processor
utilization. .Net also provides the second layer of fail-over
infrastructure.
- Fail-over
Redundancy:
Compliancy is also enabled for a 2-server shared-disk Fail-over Redundancy Setup
in conjunction with the Windows 2000/2003 Advanced Server.
In
this case, single-server application or hardware outages lead to a fail-over
migration onto the surviving server. Such redundant configurations can guard
against unplanned downtime with very little additional administrative efforts.
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Process Object Model (POM)
The
Process Object Model is a unique approach to application architecture. It
provides the maximum flexibility for developing and configuring custom
applications to meet the exact requirements for today's applications.
The
concept of breaking applications into manageable and reusable components is not
new. It is found in the component model (COM and CORBA) and in Object Oriented
Programming such as C# and C++. POM takes this same concept at the application
level.
With Compliancy, your security application is developed in components
called processes. Each process is completely independent and can be developed,
modified and upgraded without affecting other processes.
Each process is developed or modified using a graphical development tool.
It can be designed and tested completely independent of the rest of the
application. Once testing is complete, it is "installed" within the application
using the Administrator.
It
is given a version number that uniquely identifies it. Transactions and
activities involving this process can be monitored and tracked independent of
other processes within the application.
Changes can be made to each process without any impact on other processes
or the rest of the applications. When an update has been completed, it is tested
and installed.
This replaces the existing version(s) with the new version with a new
number. Activities involving previous versions that are yet to be completed
continue on the previous version until all have been completed.
POM
allows you to build flexible applications to meet your exact requirements. It
provides the ultimate in application scalability and makes it possible to build
on previous development in an incremental fashion.
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Web
services
One of the most difficult,
timely and costly IT activities is application integration. Tying together
applications such as CRM, ERP, SCM, SFA, Financial and custom developed
applications has enormous benefits in improving productivity and information
while reducing cycle times and cost.
Compliancy utilizes standards
based XML Web services to enabled integration with other applications such as
SAP, Seibel and Microsoft BizTalk.
Compliancy will even talk to
Microsoft Office applications or custom developed applications using Web
services and XML, all without programming, scripting or macros.
Any stage within a Compliancy
process can be a direct interface to another Web services or XML-enabled
application. Compliancy fully automates this and has the capability to
synchronize with another application by waiting for a response to be posted or
launch a process with this technique.
Tight integration with
Microsoft BizTalk also ensures managed integration with most common
applications.
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For more information contact us at info@compliancysoftware.com or
call +1-919-342-6212
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