Connecting%20Sarbanes%20to%20Oxley - PowerPoint PPT Presentation

Title: Connecting%20Sarbanes%20to%20Oxley


1
Connecting Sarbanes to Oxley
Faye Windhorst Landauer, Inc. 14th NATURAL
Conference October, 2006
2
(No Transcript)
3
(No Transcript)
4
Background
2006
1970
ADABAS
VSAM
5
Background
140241 NATURAL LIST
COMMAND 2006-08-02 User FAYE
- LIST Objects in a Library -
Library FIXLIB

Cmd Name Type S/C SM Version
User ID Date Time ---
ACCT____ __________ __
______ ________ __________ ________ __
ACCTDTFX Program S/C S 4.1.03
BENT 2005-05-19 094856 __ ACCTFIX
Program S/C R 3.1.04 TOMC 2002-10-30
152031 __ ACCTFXDT Program S/C S 4.1.03
FAYE 2005-08-17 125926 __
ACCTJKS Program S R 2.2.08
JKIE 1997-12-31 160230 __
ACCTMAST Program S S 2.2.08
FAYE 1998-01-29 161212 __
ACCTSEL1 Program S/C S 3.1.04
FAYE 2002-05-21 143053 __
ACCTSEL2 Program S/C S 3.1.04
FAYE 2002-05-21 103217 __
ACCTSEL3 Program S/C S 3.1.04
FAYE 2002-05-24 075513 __
ACCTSERV Program S S 2.2.08
FAYE 1998-01-09 083734 __
ACCTTEST Program S/C S 2.1.07
BENT 1992-05-14 113723







10 Objects found Top of List.

Command gt

Enter-PF1---PF2---PF3---PF4---PF5---PF6---PF7---PF
8---PF9---PF10--PF11--PF12--- Help Print
Exit Sort -- - gt
Canc
6
Background

07/30/06 Landauer, Inc.
ISMNTP1
1416
- File Maintenance Menu 1 -
ISMNTM1

Code System/Function/Explanation
A
Account Master (80)
B Account Master
Control Record (80)
C Dosimeter (72)
D Dosimeter
Component (73)
E Participant Master (81)
F Process Menu
H
Report Master (99)
I N144 Etching Tray (78)
J N144 Cross
Reference (79)
K Credit Dosimeter Return (45)
L Ship Date Table (101)





Enter code __



Enter-PF1---PF2---PF3---PF4---PF5---PF6---PF7--
-PF8---PF9---PF10--PF11--PF12--- help
retrn main quit
NxtMn flip

7
Background

8
Background
9
Problem
10
The Solution
Existing CON-STRUCT program
?
11
The Solution
143342 NATURAL LIST
COMMAND 2006-08-02 User FAYE
- List DDM ACCOUNT-MASTER-ALL -
Library FIXLIB

DDM DBID 0 DDM FNR 80 VSAM Name
Default Sequence Page 1

T L DB Name
F Leng S D Remark
- - -- -------------------------------- -
---- - - ------------------------ 1
AA ACCT-NBR P 6.0
Account number 1 AB
ACCT-SER-CODE A 3 Account series
code 1 AC REC-DEL-IND A 1
Record deleted indicator 1 AD
TERR-CODE A 1 N
Account sales territory 1 AE
STATE-CODE A 2 N
State code. 1 AF ACCT-NAME
A 23 N Account name
1 AG ACCT-LICENSEE-NAME A 16
N Account licensee name 1 AH
ACCT-LICENSEE-NBR A 15 N Account licensee
number 1 AI ACCT-REG-NBR A 7 N
Account registration number 1 AJ
ACCT-EXPOS-RPT-CPY A 2 N Account
exposure report copy 1 AK
ACCT-EXPOS-RPT-DUP-DEST A 1 N Account
duplicate exposure report dest 1 AL
ACCT-MREM-OVEXP-DEEP A 5 N Account over
exposure MREM Top of List.
12
The Solution
PLOG
SPATs
13
The Solution
Existing CON-STRUCT program
READ For UPDATE
Capture Before Image
Apply changes to update view
Capture After Image
UPDATE
14
The Solution
User FAYE - List DDM
AUDIT-LOG - Library FIXLIB

DDM DBID 0 DDM FNR 139
VSAM Name Default Sequence Page 1

T L DB Name
F Leng S D Remark
- - --
-------------------------------- -- ---- -
- ------------------------ 1 AA
AUDIT-FUNC A 1 F Action or function
against data 1 AB AUDIT-ACTIV A 2
F Activity effecting change 1 AC
AUDIT-AUTH-CODE A 20 N
1 AD AUDIT-DATE N 8.0 N
1 AE AUDIT-PROG A 32
N 1 AF
AUDIT-TIME N 7.0 N
1 AG AUDIT-USER A 32 N
1 AH AUDIT-VIEW-NAME A 32
N M 1 AJ
AUDIT-IMAG A 250 Image of record being
audited (30 Occur) M 1 AK AUDIT-IMAG-TWO A
250 Secondary image of record being audited
(30 Occur)
15
The Solution
Code Frame ......... CUFMC22
SIZE 40000 Description ........
FILE MAINTENANCE CODE - MISC. SUBROUTINES
FREE 88705 gt
gt ABS X X-Y _ S 500 L 325
........1........2........3........4........5
........6........7.. T C IF
UPDATE-VIEW.PRIME-PREFIXLOG-COUNTER NE
" PRIME-FILE.PRIME-PR
EFIXLOG-COUNTER THEN "
RESET RECORD-DISPLAYED
" BACKOUT
TRANSACTION
" USE-MSG-NR
3
REINPUT 8010 ALARM / Intervening change, please
try again " ELSE
3
REINPUT 'Intervening change, please try
again' ALARM " RETURN-TO-CONDITION

2 END-IF
"
RETURN-TO-CONDITION
1 ASSIGN
UPDATE-PERFORMED TRUE
" Landauer capturing before image

AUDIT-FUNC ACTION
AUDIT-IMAG-TYPE
'BEFORE'
PERFORM AUDIT-PURGE-MODIFY-RTN


PURGE-ACTION-SELECTED
2
........1........2........3........4........5
........6........7.. T
16
The Solution

DEFINE SUBROUTINE
AUDIT-PURGE-MODIFY-RTN

IF AUDIT-FUNC
'M' THEN
AUDIT-FUNC 'C'
END-IF

IF AUDIT-FUNC 'P' THEN

AUDIT-FUNC 'D'
END-IF

IF AUDIT-IMAG-TYPE 'BEFORE' THEN / always do
this on before images AUDIT-PROG
PROGRAM
AUDIT-USER USER
AUDIT-DATE
DATN
AUDIT-TIME TIMN

AUDIT-VIEW-NAME 'PRIME-FILE'
AUDIT-Y AUDIT-LOOP-LIMIT - 1 / must stop
on last full element FOR AUDIT-X 1 TO
AUDIT-Y
AUDIT-IMAG (AUDIT-X) CHUNK1 (AUDIT-X)
END-FOR / (0200)

AUDIT-IMAG (AUDIT-X) CHUNK1X
END-IF

17
The Solution
IF AUDIT-IMAG-TYPE 'AFTER' THEN / always
do this on after images AUDIT-Y
AUDIT-LOOP-LIMIT - 1 / must stop on last full
element FOR AUDIT-X 1 TO AUDIT-Y

AUDIT-IMAG-TWO (AUDIT-X) CHUNK1 (AUDIT-X)
END-FOR

AUDIT-IMAG-TWO (AUDIT-X) CHUNK1X
END-IF
IF
AUDIT-IMAG-TYPE 'AFTER' OR / write audit
if after image AUDIT-IMAG-TYPE
'BEFORE' AND / or before image on a purge
AUDIT-FUNC 'D' THEN
AUDIT-ACTIV
AUDIT-ACTIV-FRZ
STORE AUDIT-LOG
RESET AUDIT-LOG

AUDIT-X
AUDIT-Y

END-IF
END-SUBROUTINE /
audit-purge-modify-rtn

18
The Solution

DEFINE SUBROUTINE
AUDIT-ADD-RTN

AUDIT-PROG
PROGRAM
AUDIT-USER USER
AUDIT-DATE
DATN
AUDIT-TIME TIMN
AUDIT-FUNC 'A'

AUDIT-VIEW-NAME 'PRIME-FILE'
AUDIT-Y
AUDIT-LOOP-LIMIT - 1 / must stop on last full
element FOR AUDIT-X 1 TO AUDIT-Y

AUDIT-IMAG-TWO (AUDIT-X) CHUNK (AUDIT-X)
END-FOR

AUDIT-IMAG-TWO (AUDIT-X) CHUNKX
AUDIT-ACTIV
AUDIT-ACTIV-FRZ
STORE AUDIT-LOG
RESET AUDIT-LOG

AUDIT-X
AUDIT-Y

END-SUBROUTINE / audit-add-rtn

19
The Solution
Primary file being maintained on the INPUT
statement. 01 PRIME-FILE
VIEW OF PRIME-DDM
PRIME1
U NOT
PRIME-FILE-IS-DB2 OR NOT KEY-IS-A-SUPER
1 NEXT-ACTION-SELECTED OR
ADD-ACTION-SELECTED
2 Landauer Sarbanes-oxley audit changes
capture data 01 REDEFINE
PRIME-FILE
LDRAUDIT1
U
View which gets held during updates.
01 UPDATE-VIEW VIEW
OF PRIME-DDM
PRIME2
U LOGGING-UPDATES

1 Landauer Sarbanes-oxley audit
changes capture data
LDRAUDIT2
U

" View used to store audit trail logs.
" 01 LOG-FILE VIEW
OF LOG-DDM
" Subprogram CUFMGFIL Parameter LOG
N
" SECONDARY-FILE-USED
1

" Secondary file view.
"
20
The Solution
CSMUSEX Natural Construct
Jul 30
Maintain User Exit 1 of
1
User exit name
......... LDRAUDIT2
Code frame name ........ CUFMDA2
Conditional N User
exit required ..... X
Generate as subroutine . _

Sample subprogram ...... ________ GUI
sample subprogram .. ________ Default user exit
code .
01 REDEFINE UPDATE-VIEW_______________
________________________________ 2 CHUNK1
(A250/121) / most of record - resize as
needed________ 2 CHUNK1X (A250) /
final segment - resize as needed_________
Correct above values (field sizes only) to
exactly match the__________ update-view of
your data. Use these sizes to adjust the
audit______ processor program when adding
the routine for this view.____________
Example ACCOUNT-MASTER-ALL is 20 elements of
A250, plus A228___________
..................................................
................____ __________________________
______________________________________________
__________________________________________________
______________________ Enter-PF1---PF2---PF3---PF
4---PF5---PF6---PF7---PF8---PF9---PF10--PF11--PF1
help retrn

21
The Solution

• DEFINE EXIT LDRAUDIT1
  
• 2 CHUNK (A250/15) / MOST OF RECORD -
  RESIZE AS NEEDED
• 2 CHUNKX (A57) / FINAL SEGMENT -
  RESIZE AS NEEDED
• 1 AUDIT-LOOP-LIMIT (P5) INIT lt6gt / SET TO
  MATCH CHUNK LIMITCHUNKX
• Correct above values (field array sizes) to
  exactly match the
• prime-view of your data. Use these sizes to
  adjust the audit
• processor program when adding the routine for
  thie view.
• Example ACCOUNT-SERVICES is 21 elements of
  A187, plus A3.
• Be sure to set correct audit-loop-limit to
  match array size.
• You may use a maximum of 30 occurrences as
  specified in the LDA..
• 1 AUDIT-ACTIV-FRZ (A2) INIT lt'A 'gt / Set this
  to the correct activity
• END-EXIT

22
The Solution
MULTIPLE-WINDOWS
Landauer code to pop
up a window to capture authorization code
FORMAT IPOFF
DEFINE WINDOW AUTHWIN

SIZE 4 25
TITLE 'Authorization Code'

FRAMED ON (CDYE)
/ Only pop the window up
if the Y has been keyed and no /
authorization has been keyed yet. /
03/09/05 change - glcae
IF CONFIRM-FLG 'Y' AND

AUDIT-AUTH-CODE ' ' THEN
SET KEY OFF
SET
WINDOW 'AUTHWIN'
INPUT WINDOW'AUTHWIN'

AUDIT-AUTH-CODE (ADULAE'_')
SET WINDOW OFF
SET
KEY ON
23
The Solution
24
The Solution
Define data 1 view of actual data 1 view of
clone of actual data 1 view of audit detail
contains raw before after images READ for
update copy actual data to clone call
audit-capture routine - reformats clone data to
fit copy screen changes to the actual data
view copy actual data to clone again call
audit-capture again - reformat changed clone data
to fit write audit record.
25
The Solution
Existing CON-STRUCT program
26
The Solution
Audit-Log
Audit-History
27
The Solution
104512 NATURAL LIST
COMMAND 2006-08-03 User FAYE
- List DDM AUDIT-HISTORY -
Library ISDL

DDM DBID 0 DDM FNR 138 VSAM Name
Default Sequence Page 1

T L DB Name F Lg S D Remark
- - -- ---------------------
----------- - ---- - - ------------------------
1 AA AUDIT-FUNC A 1 F Action or
function a 1 AB AUDIT-ACTIV A
2 F D Activity effecting change 1 AC
CUST-NBR N 6.0 Customer Number
1 AD ACCT-NBR P 6.0 Account number
1 AE SER-CODE A 3 Series Code
1 AF PART-NBR A
5 Participant number. 1 AG
DOSI-SN P 7.0 N Dosimeter serial number
1 AH DOSI-SN-SUFX A 1
N Dosimeter serial suffix 1 AI
GENERIC-SEARCH-DATA A 64 N D
1 AJ AUDIT-DATE N 8.0
1 AK
AUDIT-PROG A 32 N
1 AL AUDIT-TIME N 7.0 N
1 AM AUDIT-AUTH-CODE A
64 N D 1 AN
AUDIT-USER A 32 N D
1 AO AUDIT-VIEW-NAME A 64 N D
1 AP AUDIT-FIELD-NAME A
64 N D 1 AT
AUDIT-FIELD-OCCUR N 7.0 N
1 AU AUDIT-FIELD-OCCUR-MAX N
7.0 N 1 AV
AUDIT-SUB-FIELD-OCCUR N 7.0 N
1 AW AUDIT-SUB-FIELD-OCCUR-MAX N
7.0 N 1 AQ
AUDIT-FIELD-DESCRIPTION A 64 N Business
description M 1 AR BEFORE-IMAG
A 128 N M 1 AS
AFTER-IMAG A 128 N
28
The Solution
Audit Converter Program
View Handler Subroutine
View Handler Subroutine
View Handler Subroutine

29
The Solution
Program AXAUDTP0
Author Faye Windhorst Date
Written 12/22/04 Description
This program is the driver for moving records
from the Audit-Log to
the Audit-History file.
Records on the Audit-Log are unformatted and
contained in a "chunk
of data". This program performs subroutines for
each Adabas view to
format the raw audit data into a
useable format on the Audit-History
file. As records are
processed and written to Audit-History, they are
physically deleted
from Audit-Log. DEFINE
DATA GLOBAL USING AXAUDTG0
LOCAL USING AXJCLA1 LOCAL 01
COUNTERS 02 READ-CTR (N7)
02 DELETE-CTR (N7) 01 INDICES
02 MAX-AUTH-IX(N3) INIT lt100gt
02 AX-IX (N3) 02 IX
(N3) END-DEFINE
(More...)
30
The Solution
READAUDT. READ AUDIT-LOG BY ISN ADD 1 TO
READ-CTR DECIDE FOR FIRST CONDITION WHEN
AUDIT-LOG.AUDIT-VIEW-NAME 'ACCOUNT-CONTRACT-INFO
' PERFORM AXACONS0-ACCOUNT-CONTRACT-INFO
WHEN AUDIT-LOG.AUDIT-VIEW-NAME
'ACCOUNT-CONTRACT-PO-INFO' PERFORM
AXACPOS0-ACCOUNT-CONTRACT-PO-INFO WHEN
AUDIT-LOG.AUDIT-VIEW-NAME 'ACCOUNT-MASTER-ALL'
DECIDE ON FIRST AUDIT-LOG.AUDIT-PROG
VALUES 'ISACCTP1', 'ISCNUPP1' PERFORM
AXAMALS4-ACCOUNT-MASTER-ACCT INCLUDES
AXAMALS5, AXAMALS6 AXAMALS7 VALUE
'ISADDRP1' PERFORM AXAMALS8-ACCOUNT-MAST
ER-ADDRESS NONE PERFORM
AXAMALS0-ACCOUNT-MASTER-ALL INCLUDES
AXAMALS1, AXAMALS2 AXAMALS3 END-DECIDE
WHEN AUDIT-LOG.AUDIT-VIEW-NAME
'ACCOUNT-MASTER-CTL' PERFORM
AXAMCTS0-ACCOUNT-MASTER-CTL (MORE) WHEN
AUDIT-LOG.AUDIT-VIEW-NAME 'STATE-CODE-TABLE'
PERFORM AXCTSTS0-STATE-CODE-TABLE WHEN
ANY IF AUDIT-ET-CTR gt 0 ADD 1 TO
DELETE-CTR DELETE (READAUDT.)
END TRANSACTION RESET AUDIT-ET-CTR (MORE
)
31
The Solution
IF AUDIT-LOG.AUDIT-AUTH-CODE MASK
(999999'-'999999) OR AUDIT-LOG.AUDIT-AUTH-
CODE MASK ('F'999999'-'999999) OR
AUDIT-LOG.AUDIT-AUTH-CODE MASK
('S'999999'-'999999) OR
AUDIT-LOG.AUDIT-AUTH-CODE MASK ('UK
OFFICE'...........) EXAMINE
AXJCLA1.AUDIT-AUTH-ARRAY() FOR
AUDIT-LOG.AUDIT-AUTH-CODE GIVING INDEX IX
IF IX 0 AX-IX AX-IX 1
AXJCLA1.AUDIT-AUTH-ARRAY (AX-IX)
AUDIT-LOG.AUDIT-AUTH-CODE END-IF
if the auth-code-array is full - stop
processing and get the remaining
audit-log records on the next pass IF
AX-IX MAX-AUTH-IX ESCAPE BOTTOM
END-IF END-IF END-IF
WHEN NONE WRITE 'No audit subroutine for
' AUDIT-LOG.AUDIT-VIEW-NAME '.' END-DECIDE
END-READ IF AX-IX gt 0
AXJCLA1.NAT-LIBRARY 'ISDL'
AXJCLA1.NAT-SOURCE-NAME 'AXAHJCC1'
AXJCLA1.AUDIT-ARRAY-IX AX-IX CALLNAT
'AXJCLN1' AXJCLA1 END-IF WRITE 15T 'RECORDS
READ ' READ-CTR (EMZ,ZZZ,ZZ9) / 15T
'RECORDS DELETED' DELETE-CTR (EMZ,ZZZ,ZZ9) ///
15T ' END OF REPORT ' END
32
The Solution
MODULE NAME AXAMALS3 AUTHOR FAYE
WINDHORST DATE WRITTEN 12-27-04
DESCRIPTION THIS SUBROUTINE IS PERFORMED AS PART
OF AXAUDTP0 TO FORMAT ACCOUNT-MASTER-ALL
AUDIT DATA FROM AUDIT-LOG INTO A
USEABLE FORMAT ON AUDIT-HISTORY DEFINE
DATA GLOBAL USING AXAUDTG0 /
AUDIT-LOG LOCAL USING FXSDELA0 /
SYSDIC-EL (PREDICT FIELD NAME DESCR) LOCAL USING
FXAUDHA0 / AUDIT-HISTORY LOCAL 01
ACTMST-ALL-BEFORE 02 ACCT-NBR (P6) 02
ACCT-SER-CODE (A3) 02 REC-DEL-IND (A1) 02
TERR-CODE (A1) 02 STATE-CODE (A2) 02
ACCT-NAME (A23)
(MORE...) 01
REDEFINE ACTMST-ALL-BEFORE 02 BEFORE-CHUNK
(A250/120) 02 BEFORE-CHUNKX (A228) 01
ACTMST-ALL-AFTER 02 ACCT-NBR (P6) 02
ACCT-SER-CODE (A3) 02 REC-DEL-IND (A1) 02
TERR-CODE (A1) 02 STATE-CODE (A2) 02
ACCT-NAME (A23)
(MORE...) 01
REDEFINE ACTMST-ALL-AFTER 02 AFTER-CHUNK
(A250/120) 02 AFTER-CHUNKX (A228) END-DEFINE
33
The Solution
DEFINE SUBROUTINE AXAMALS3-ACCOUNT-MASTER-BEFORE-A
FTER -------------------------------------------
--------------------------------------------------
---- AUDIT-IMAG BEFORE IMAGE
AUDIT-IMAG-TWO AFTER IMAGE MOVE FROM AUDIT
FILE INTO VIEW LAYOUTS BEFORE-CHUNK (120)
AUDIT-IMAG(120) BEFORE-CHUNKX
AUDIT-IMAG(21) AFTER-CHUNK (120)
AUDIT-IMAG-TWO(120) AFTER-CHUNKX
AUDIT-IMAG-TWO(21) RESET FXAUDHA0 MOVE BY NAME
AUDIT-LOG TO FXAUDHA0-RECORD FXAUDHA0.ACCT-NBR
ACTMST-ALL-BEFORE.ACCT-NBR FXAUDHA0.SER-CODE
ACTMST-ALL-BEFORE.ACCT-SER-CODE FXAUDHA0.CUST-NBR
ACTMST-ALL-BEFORE.CUST-NBR DECIDE FOR EVERY
CONDITION WHEN ACTMST-ALL-BEFORE.TERR-CODE NE
ACTMST-ALL-AFTER.TERR-CODE MOVE 'TERR-CODE'
TO FXAUDHA0.AUDIT-FIELD-NAME PERFORM
LOOKUP-FIELD-DESCRIPTION MOVE
ACTMST-ALL-BEFORE.TERR-CODE TO FXAUDHA0.BEFORE-IMA
G (1) MOVE ACTMST-ALL-AFTER.TERR-CODE TO
FXAUDHA0.AFTER-IMAG (1) PERFORM
STORE-AUDIT-HISTORY-RECORD WHEN
ACTMST-ALL-BEFORE.STATE-CODE NE
ACTMST-ALL-AFTER.STATE-CODE MOVE 'STATE-CODE'
TO FXAUDHA0.AUDIT-FIELD-NAME PERFORM
LOOKUP-FIELD-DESCRIPTION MOVE
ACTMST-ALL-BEFORE.STATE-CODE TO
FXAUDHA0.BEFORE-IMAG (1) MOVE
ACTMST-ALL-AFTER.STATE-CODE TO
FXAUDHA0.AFTER-IMAG (1) PERFORM
STORE-AUDIT-HISTORY-RECORD WHEN
ACTMST-ALL-BEFORE.ACCT-NAME NE
ACTMST-ALL-AFTER.ACCT-NAME MOVE 'ACCT-NAME'
TO FXAUDHA0.AUDIT-FIELD-NAME PERFORM
LOOKUP-FIELD-DESCRIPTION MOVE
ACTMST-ALL-BEFORE.ACCT-NAME TO FXAUDHA0.BEFORE-IMA
G (1) MOVE ACTMST-ALL-AFTER.ACCT-NAME TO
FXAUDHA0.AFTER-IMAG (1) PERFORM
STORE-AUDIT-HISTORY-RECORD


(MORE...) WHEN NONE IGNORE END-DECIDE
34
And finally
35
And finally
36
Connecting Sarbanes to Oxley
Questions???
Faye Windhorst Landauer, Inc. 14th NATURAL
Conference October, 2006