Know your risk.

This screenshot of the Stellent Sarbanes-Oxley Solution offering from IDT shows the organization’s current state of risk by presenting a dashboard that

illustrates “units of risk” based on severity.

Drilling further, it will tell:

what business process is at risk

who owns the process

what the next steps are

next

• Turn your SOX “project” into a SOX “process”

Easy to use, COSO-based risk assessment interface

Automated workflow engine that streamlines on-going testing and monitoring

Managed document repository that secures, tracks, and provides an audit trail for all documentation changes

• Reduce support costs

Integrate seamlessly into your IT infrastructure

• Extend support for other corporate governance or compliance applications

Operational and Compliance aspects of the COSO cube

Industry compliance requirements

The Stellent Sarbanes-Oxley Solution from IDT allows you to:

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The Stellent compliance solution from IDT could have saved these companies millionsmillions of dollars!The Stellent compliance solution from IDT could have saved these companies millionsmillions of dollars!

Sources: SEC, King & Spaulding LLP, CFO Research April 2005

Date Company

Cited for Cooperation or Lack of

Cooperation

Penalty

Cease and Desist Order (C&D) or other

non-monetary sanction?

Comments as quoted from SEC

Sep-03 American Int'l Group (AIG)

X $10 million

C&D "AIG failed to produce a large quantity of documents … a woefully deficient document collection effort … chose to withhold a key document."

Mar-04 Banc of America Securities LLC (BAS)

X $10 million

C&D "BAS repeatedly failed to promptly furnish documents … (and) provided misinformation concerning the availability … of such documents…"

May-04 Lucent X $25 million

Permanent Injunction "Lucent provided incomplete document production, producing key documents after testimony of relevant witnesses, and failed to ensure that a relevant document was preserved…"

Nov- 04 Wachovia X $37 million

Permanently Enjoined "Wachovia provided incomplete and untimely document productions..."

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The ‘Financial Element’ tree is displayed here

The ‘Financial Element’ tree is displayed here

Processes are mapped to:

• Financial Elements

• Organizational Units

• Accounting Cycles

Processes are mapped to:

• Financial Elements

• Organizational Units

• Accounting Cycles

Process Mapping

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Process Definitions contain information about the process:

• 3 Maps

• COSO Attributes

• Owner & Tester

• Associated Risks

• Controls

• Test Process

• Process Documentation

• Issues / Remediation

• Audit Trail

Process Definitions contain information about the process:

• 3 Maps

• COSO Attributes

• Owner & Tester

• Associated Risks

• Controls

• Test Process

• Process Documentation

• Issues / Remediation

• Audit Trail

Process Definition

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Process Documentation Review

This is an example of the review step on

process documentation.

Note that Stellent automatically converts

native formats (like Visio) to PDF or HTML.

This is an example of the review step on

process documentation.

Note that Stellent automatically converts

native formats (like Visio) to PDF or HTML.

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Control Definitions contain information about the control:

• Parent Process

• COSO Attributes

• Related Risks

• Controls

• Test Results

• Control Documentation

• Issues / Remediation

• Audit Trail

Control Definitions contain information about the control:

• Parent Process

• COSO Attributes

• Related Risks

• Controls

• Test Results

• Control Documentation

• Issues / Remediation

• Audit Trail

Control Definition

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Automatic Test Processes notify owners, testers,

internal auditors, remediation planners of their responsibilities

Automatic Test Processes notify owners, testers,

internal auditors, remediation planners of their responsibilities

Test Cycle

Full revision control and audit trail on all test

procedures, test results, and

remediation plans

Full revision control and audit trail on all test

procedures, test results, and

remediation plans

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A variety of reports keep various members

up to date on the compliance project

A variety of reports keep various members

up to date on the compliance project

Additional criteria for refining the reports

Additional criteria for refining the reports

Reporting

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Executive Dashboard provides

high-level project overview and status

Executive Dashboard provides

high-level project overview and status

Dashboard

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InternalAudit

Sec 17a ISO HIPAA,JCAHO,

STARK II

BASEL II,IAS,

GLBA FDA Patriot Act

Sarbanes-Oxley,

Euro SOX,LSF

Economic,Terrorist,

Other

Enterprise Risk Management (ERM)

Workflow / Business Process Management (BPM)

Records Management (RM)

Document / Content Management (DM/CM)

1

2

3

Provides a Compliance Framework including:

• Core technology for supporting compliance

• Applications for managing compliance

• Applications for ERM

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For more information:

To learn more about the Stellent Compliance Solution from IDT, please contact us.

IDT, Inc.phone: 630.875.1100

email: info@idt-inc.com

web: www.idt-inc.com

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