Location : Cleveland, OH
We were engaged to create a SOX application using Lotus Notes and Domino. Before even beginning, we looked at some packaged solutions from a few vendors (with help from Chris Byrne). The ones we looked at had some pretty hefty price tags, so the decision was made to create an application using Lotus Notes and Domino. What does Lotus bring to the table? Discussion databases, access to back end data sources, superior security, complex workflow approval process for access, and rapid application development. Basically, in the end, we were able to integrate their existing Help Desk application, new hire process, and employee policies. It included Requests and Purchasing, statistics/access summary, and
management/administrative functionality. And using Notes, it is all time/date stamped, signed, documented, secure, and workflowed (is that a word?). The client now has a system that satisfies the auditors and their interpretation of Section 404 of the Sarbanes-Oxley Act. And we were able to provide the future ability for data input of past employee accesses for a complete history of accesses given.
It kind of reminds me of a "SOX Suite," if you will. The client now has an application that includes:
1. Software/Hardware access tracking (customized)
2. Purchasing tracking (partially customized depending upon how they needed approvals)
3. Discussion areas
4. Knowledge base
5. Management reporting
6. User Announcement area
7. Email archiving into a Windows flat file system
8. New hire Information Technology system accesses (ERP, Domino, Network Operating System file/printer rights, telephone/fax, etc.)
All this with Notes security and work flow through e-mail. After completing this project, it was kind of interesting to read more about how the other packages postioned their products using a Domino point of view. Some talk about their ability to have areas for document repositories, discussion areas, centralized accesses, workflow, search, and other terms that are very familiar to those of us in the Domino space. While Domino isn't the be all/end all of SOX Compliance, it certainly has the potential to help companies with compliance. And you may already be running Notes/Domino and don't even give it a thought as to how it can help with issues such as this.
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