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© 2005 Princeton Softech, Inc.
Managing Oracle Data to Support Compliance Initiatives
Alan SchneiderGCOUG
January 18, 2006
Overview of Best Practicesand Best-in-Class Solutions
2© 2005 Princeton Softech, Inc.
Today’s Discussion
Princeton Softech and Oracle Challenges of Data Growth and Retention Compliance Best Practices in Managing Oracle Data
- Establishing Functional Policies and Service Levels- Managing archive and retention processes
About Princeton Softech- Optim™ Solution Capabilities
3© 2005 Princeton Softech, Inc.
Challenge: Database Growth
4© 2005 Princeton Softech, Inc.
What’s Driving Data Growth?
High-volume online transaction processing:- Customer facing eCommerce applications- ERP/CRM - Supply chain applications
Record retention requirements:- Financial Services – Sarbanes-Oxley- Healthcare – HIPAA- Pharmaceutical – 21 CFR 11 - Financial – IRS and SEC Rule 17a-4
Multiplicity of data:- Multiple operational, development and testing environments- Disaster recovery and business continuity- Routine backup and recovery
5© 2005 Princeton Softech, Inc.
Data Retention Example
SEC Rule 17a-4- Retain records for six years from close of account or termination of associated employees- Keep records in an "easily accessible place" - Produce records immediately if the records are located in the office where the request is made - Produce records within three business days if the requested records are located off-site- Display requested records electronically in a local office and immediately produce printed
copies to satisfy Rule requirements
6© 2005 Princeton Softech, Inc.
1. Identify the business parameters that will drive an archive
2. Establish service levels for archive access by functional users
3. Place archived data in the storage appropriate medium
4. Provide the appropriate archive access interface
5. Select from multiple tool options available
6. Document improvements
Archiving E-Business Suite Transactions
7© 2005 Princeton Softech, Inc.
Establishing Functional Business Policies
Develop a channel of internal communications on functional retention policies
- Ensure functional business users understand the needs and costs of long-term, compliance-driven retention
- Conduct annual training on retention policies and procedures
Ensure that the technical teams preserve the functional requirements in their archive implementation
Ensure that your technical staff is comfortable with archive retention mechanisms
8© 2005 Princeton Softech, Inc.
Driving Retention Aspects of Compliance
Internal controls and best practices Business unit accountability Real-time monitoring and
disclosure Consistent and sustained access to
historical transactions
9© 2005 Princeton Softech, Inc.
Preparing for Retention Oriented Compliance
Step 1: Develop functional archive policies
Step 2:Define those policies to an archive product and storage architecture
Step 3:Don’t forget about process
10© 2005 Princeton Softech, Inc.
Step 1: Business Policies Drive Archiving
Identify applications that manage regulated data Build consensus among stakeholders on retention and
retrieval:- Business owners, application developers, storage- Include CFO, legal, compliance, security
Document your business policies:- Types of data (Active, Inactive/Historical, Reference)- Processes for Archiving, Viewing, Retrieving Objects- Processes for Compliance and Disposal
11© 2005 Princeton Softech, Inc.
Functional Requirements for Archive
Application Retention (Years)
Archiving Recovery / Access Requirements
Lead Time
Type of Data to Archive
GL 3 Yearly Audit; Trend analysis Y Ledgers, Journals, fully posted
AP 3 Yearly Audit; Trend analysis Y Vouchers, Payments, fully paid and posted
AR 3 Yearly Audit; Trend analysis Y Invoices, items
Billing 3 Yearly Audit; Trend analysis Y Invoices
Billing Interface
1 Quarterly Troubleshooting Y Billing input
AM 3 Yearly Audit; Trend analysis Y Retired assets
AM Interface 1 Quarterly Troubleshooting Y Asset input, GL interface
Payroll 2 Yearly Audit Y Paycheck processing data and balances
12© 2005 Princeton Softech, Inc.
Define Retention Policies at Business Layer
Order Management
Archive Orders for any Order Type, Order Category, Customer, Order Numbers, Order Dates, Creation Date values
Purchase Order Archive Blanket Agreements and Purchase Orders by a specified Last Activity Date
Work in Process Archive Discrete Jobs and Repetitive Schedules for any Accounting Period
Accounts Receivable
Archive Transactions (other than transactions applied to commitments) posted to General Ledger or prior to a Cut Off Date value
13© 2005 Princeton Softech, Inc.
Archive Templates Know E-Biz Data Model
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Align Service Levels with Business Use
Functional Usage / Access Requirements Over Time
Functional Data Frequent and Intuitive Access (Self-Help)
Infrequent Ad-Hoc, Query-based Access (via Query)
Exception-based Reference/Spreadsheets (24-hour IT response)
Complete Deletion (Dictates storage planning)
Ledgers (GL) Current – 2Y Years 3 - 5 Years 6 - 10 Year 11
Journals (GL) Current – 2Y Years 3 – 5 Years 6 - 10 Year 11
Vouchers (AP) Current – 2Y Years 3 – 5 Years 6 - 10 Year 11
Payments (AP) Current – 2Y Years 3 – 5 Years 6 - 10 Year 11
Invoices (AR) Current – 2Y Years 3 – 5 Years 6 - 10 Year 11
Items (AR) Current – 2Y Years 3 – 5 Years 6 - 10 Year 11
Invoices (BI) Current – 2Y Years 3 – 5 Years 6 - 10 Year 11
Billing Input (BI) Current Year Year 2 Years 3 - 10 Year 11
Retired Assets (AM)
Current – 2Y Years 3 – 5 Years 6 - 10 Year 11
Asset Input (AM) Current Year Year 2 Years 3 - 10 Year 11
15© 2005 Princeton Softech, Inc.
1. Archive Transactions together with related adjustments, credits, reversals, calls, sales credits, and receipts
2. Closed transactions include zero-balance invoices, zero-balance debit memos, fully applied credit memos, charge-backs, cash receipts, as well as approved and applied adjustments
3. Receipts must be fully applied and related only to the transactions eligible for purge:
- Status of AR_CASH_RECEIPT_HISTORY must be ‘Cleared’, ‘Risk_Eliminated’, or ‘Reversed’
- Debit memo reversals, require a reversal date
Predefined Business Integrity Checks
16© 2005 Princeton Softech, Inc.
Step 2: Define the Storage Architecture
Technical Safeguards (Security) Data integrity safeguards
- Access controls – authentication, authorization- Recording media (WORM media or subsystems)- Secure audit trails, duplicate copies, etc.
Data privacy safeguards- Access controls – authentication, authorization- Data encryption- Access logs, audits and reports
*Exact requirements depend on regulatory environment
17© 2005 Princeton Softech, Inc.
Storage Goals and Criteria
Goals: Cost effective Easy to manage and scale Ensure accessibility for many yearsSelection Criteria: Storage capacity Availability Manageability Performance Cost
Existing storage technology to be combined with new storage technology (e.g. ATA disk storage) to help reduce cost.
18© 2005 Princeton Softech, Inc.
Step 3: Don’t Forget About Process
Important regulatory requirements specify that the data must remain unaltered and accessed only by the proper individuals.
Accessibility, storage and audit policies each result in a specific set of processes that govern their maintenance and education.
Consistent, repeatable, controlled, documented archive and access methods and tools
19© 2005 Princeton Softech, Inc.
Summary of Advice
Recognize that IT owns Infrastructure, but the Business owns the data
Improve functional processes by tiering services by functional need
- Higher service levels on current transactions- Lower-cost, lower service levels on historical transactions
Limit liability by ensuring real-time compliance controls are sustained and documented in your historical retention processes and tools
- Respond quickly and accurately to audit requests- Reduce costs of discovery
20© 2005 Princeton Softech, Inc.
About Princeton Softech
Proven leader in Enterprise Data Management- Solving complex data management issues since 1989- In-depth functional knowledge of mission-critical
applications and the business rules that govern them- Over 2,200 customers worldwide
Including nearly half of the Fortune 500
- Only true enterprise solution: across applications, databases, hardware platforms and operating systems
21© 2005 Princeton Softech, Inc.
Princeton Softech and Oracle
Only Oracle partner offering a single, consistent archive solution across entire Oracle stack- E-Business Suite, PeopleSoft Enterprise, JD Edwards
EnterpriseOne, Retek, Siebel- All custom and packaged applications running on Oracle databases
Provides a safe, secure path to Project Fusion Accelerated deployment of integrated Oracle partner solutions Repeatable experiences through pre-defined and fixed-scope services Highest quality skill sets and bench strength to augment your project
teams, if desired RESULT: no shelf-ware, no surprises!
22© 2005 Princeton Softech, Inc.
Princeton Softech Optim™
Provides a single solution for managing enterprise application data throughout every stage of the information lifecycle
Applies business rules and automates processes that govern how to assess, classify, archive, subset, access, store and protect enterprise application data
Supports and scales across applications, databases, operating systems and hardware platforms
Optimizes the business value of your IT infrastructure
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Princeton Softech Optim™
24© 2005 Princeton Softech, Inc.
• Support for Oracle Applications versions 11.0 & 11i• Financials • Manufacturing • Supply Chain• Human Resources• Projects
• Transparent access to data via standard Oracle Applications forms and reports
• Pluggable archiving framework designed to support predefined archive templates and local customizations
Support for E-Business Suite
Transaction Processing
Reporting
Audit
Archive
Retrieve
25© 2005 Princeton Softech, Inc.
Self-help Access to Archived Data
• Seamless access to BOTH archived and production data via Oracle Applications
• Leverages “Responsibility” to access data, using standard Oracle forms and reports
• Steps to view archived data: Login Select Responsibility Access archived data, production data
or BOTH
ProductionData
ArchivedData
26© 2005 Princeton Softech, Inc.
Audit-Ready Snap-Shot
Preserves transactions’ business integrity without variance
- Metadata preserved with archive
Complete business object archiving
- Business reference data contained with purged data
Future-proofing through consistent and agnostic deployment
- Across application vendors- Across application versions- Across database vendors- Access archives independently from native application Enables decommissioning
and migrations - Single Archive process for both self-help (transparent) and snap-shot query (audit) access
27© 2005 Princeton Softech, Inc.
Access Archive Snap-shots for Audit
Only Princeton Softech has complete business objects archived for reporting based access stand-alone from any application version or front-end
Choice of:- Discoverer- SQL- Reports- Database reporting tools Product enables each access method,
without reconfiguring the archive product. Most customers tier access to archives based on age and status of
business transactions, and will eventually seek to replace transparent access with report based access to older archives
- Plan on eventually archiving the archive – re-use!
28© 2005 Princeton Softech, Inc.
Results from Oracle Sites
VOLT Information Sciences
Segregated 250 GB of a 500 GB database by age and status Key functional processes now running 25% to 300% faster Upgrade run-time reduced from 140 to 50 hours
Bausch and Lomb
Financial reporting 50% faster
AIMCO Implemented and in production in 2 months – by one staffer, part-time project
Giant Eagle Archiving generated a first-year ROI that exceeded their investment in archive software and labor
Other Customers
ADVO, AVX, Boeing, State of Georgia
29© 2005 Princeton Softech, Inc.
Princeton Softech: Customers
© 2005 Princeton Softech, Inc.