Systems and methods for managing internal controls with import interface for external test results

• US 20070078701A1
• Filed: 09/30/2005
• Published: 04/05/2007
• Est. Priority Date: 09/30/2005
• Status: Abandoned Application

• Current Assignee: SAP SE
• Original Assignee: SAP SE
• Inventors: Bliznak, Karol
• Application Number:
  US11/239,140
• Publication Number:
  US 20070078701A1
• Time in Patent Office: Days
• US Class Current: 705/11
• CPC Class Codes: G06Q 10/06 Resources, workflows, human or project management; Enterprise or organisation planning; Enterprise or organisation modelling
• CPC Class Codes: G06Q 10/0639 Performance analysis of employees; Performance analysis of enterprise or organisation operations

Abstract

Computer-implemented methods, systems, and computer program products are provided for the management of internal controls. Embodiments consistent with the invention also relate to internal control systems and methods that provide an interface for uploading or importing test results from one application (e.g., an external application for testing controls) to another application (e.g., an internal control documentation application). In one implementation, a computer-implemented method is provided for testing operating effectiveness of controls for a company. The method may comprise creating a test plan, the test plan identifying controls to be tested using an external application and scheduling at least one test with the external application. The method may further comprise electronically uploading control testing results for the scheduled at least one test, the testing results being uploaded from the external application to a control documentation application via an interface and a time window associated with the at least one test.

Claims

1. A computer-implemented method for testing operating effectiveness of controls for a company, the method comprising:

creating a test plan, the test plan identifying controls to be tested using at least one external application;

scheduling at least one test with the external application; and

electronically uploading control testing results for the scheduled at least one test, the testing results being uploaded from the external application to a control documentation application using an interface and a time window related to the scheduling for the at least one test.

2. The computer-implemented method of claim 1, wherein the uploading of test results is implemented in accordance with a push procedure.

3. The computer-implemented method of claim 1, wherein electronically uploading comprises:

defining the time window based on a start date included in the scheduling of the at least one test and an end date when a data freeze functionality applies.

4. The computer-implemented method of claim 3, wherein if there is an attempt to upload control testing results on a date that is outside the time window defined by the respective start date and the freeze date, then an error code is generated and no data is uploaded.

5. The computer-implemented method of claim 1, further comprising automatically creating of a pre-filled test log and an issue for reported exceptions.

6. A system for testing control operating effectiveness, the system comprising:

means for creating a test plan, the test plan identifying controls to be tested using at least one external application;

means for scheduling at least one test with the external application; and

means for electronically uploading control testing results for the scheduled at least one test, the testing results being uploaded from the external application to a control documentation application using an interface and a time window associated with the at least one test.

7. The system of claim 6, wherein the uploading of test results is implemented in accordance with a push procedure.

8. The system of claim 6, wherein the means for electronically uploading comprises means for defining the time window based on a start date included in the scheduling of the at least one test and an end date when a data freeze functionality applies.

9. The system of claim 8, wherein if there is an attempt to upload control testing results on a current date that is outside the time window defined by the respective start date and the freeze date, then an error code is generated and no data is uploaded.

10. The system of claim 6, further comprising means for automatically creating of a pre-filled test log and an issue for reported exceptions.

11. A computer program product with a computer program stored thereon for providing a user-interface, the computer program comprising instructions operable to cause the computer to perform a method comprising:

creating a test plan, the test plan identifying controls to be tested using an external application;

scheduling at least one test with the external application; and

electronically uploading control testing results for the scheduled at least one test, the testing results being uploaded from the external application to a control documentation application using an interface and a time window for the at least one test.

12. The method of claim 11, wherein the uploading of test results is implemented in accordance with a push procedure.

13. The method of claim 11, wherein electronically uploading comprises:

defining the time window based on a start date included in the scheduling of the at least one test and an end date when a data freeze functionality applies.

14. The method according to claim 13, wherein if there is an attempt to upload control testing results on a current date that is outside the time window defined by the respective start date and the freeze date, then an error code is generated and no data is uploaded.

15. A method for the management of internal controls, the method comprising:

providing a test plan that identifies controls to be tested using an external application;

electronically posting, during a predetermined time window, test results from the external application to an internal control documentation application, wherein posting is achieved using an interface and a push procedure;

validating the test results to identify control effectiveness issues; and

resolving control effectiveness issues.