1. Integrating ACL and SQL Server

2. AGENDA Intros/Bios Intros/Bios Definition of Terms Used Definition of Terms Used Architecture (Before & After) Architecture (Before & After) Business Reason for upgrade Business Reason for upgrade Factors Considered in solution Factors Considered in solution Case Study: Case Study: –Problem/objective –Solution Lessons Learned Lessons Learned Q & A Q & A

3. Background of Presenter Rene Rene –2 years EHI experience –9 years audit experience (6 yrs. CAATS) –Toolset: ACL, T-SQL, PLSQL, SAS, SSAS, SSRS, SSIS, SQL Management Studio Nick Nick –13 years EHI Experience –8 years audit experience

4. Definition of Terms Used SSIS – SQL Server Integration Services, provides ETL of data and automation of starting ACL. It is part of the Business Intelligence Developer Studio (BIDS) software. SSIS – SQL Server Integration Services, provides ETL of data and automation of starting ACL. It is part of the Business Intelligence Developer Studio (BIDS) software. SMS- SQL Server Management Studio, the more dba centric tool used for adding, deleting, updating tables on the server. SMS- SQL Server Management Studio, the more dba centric tool used for adding, deleting, updating tables on the server.

5. Definition of Terms Used (cont.) SSRS – SQL Server Reporting Services, the reporting engine that hosts the reports on a web server, which the users access via internet. SSRS – SQL Server Reporting Services, the reporting engine that hosts the reports on a web server, which the users access via internet.

6. Before Our Client/Server Solution

7. Infrastructure Investment Efficient exception management solution Efficient exception management solution Repository for external data we accumulate Repository for external data we accumulate Flexibility of being able to access reports without having to be ACL proficient Flexibility of being able to access reports without having to be ACL proficient Needed to be able to query/store large amounts of data Needed to be able to query/store large amounts of data

8. Factors Considered In house Expertise In house Expertise Scalability Across the Enterprise Scalability Across the Enterprise Cost of Ownership Cost of Ownership Familiarity with solutions Familiarity with solutions Technical Support Resources Availability Technical Support Resources Availability Out of box connectors for ETL Out of box connectors for ETL

9. Internal Audit Solution

10. After Our Client/Server Solution

11. Case Study: ACL and SQL Server Problem: Wanted to leverage our existing ACL CM projects and allow our end users to consume the reports in a variety of ways (i.e. ACL, excel or via the web). Problem: Wanted to leverage our existing ACL CM projects and allow our end users to consume the reports in a variety of ways (i.e. ACL, excel or via the web). Solution: Use the built in functionality of ACL to trigger SSIS into performing certain functions. Solution: Use the built in functionality of ACL to trigger SSIS into performing certain functions.

12. Solution- Using an Audit Objective

13. Solution –Step by Step Step 1: Add a final script to existing ACL script stack (Indicator_script) Step 1: Add a final script to existing ACL script stack (Indicator_script) Step 2: Create the Indicator script to capture threshold needed (i.e. COUNTN variable) Step 2: Create the Indicator script to capture threshold needed (i.e. COUNTN variable)

14. Step1: Indicator Script this syntax is done in the master- just to illustrate the SSIS process its done here this syntax is done in the master- just to illustrate the SSIS process its done here ****************************************** ****************************************** SET SAFETY OFF SET SAFETY OFF SET SESSION initialze_SYSDATE SET SESSION initialze_SYSDATE SET DATE 'YYYYMMDD' SET DATE 'YYYYMMDD' v_sys_date = ALLTRIM(DATE()) v_sys_date = ALLTRIM(DATE()) SET LOG "LOG_%v_sys_date%" SET LOG "LOG_%v_sys_date%" ASSIGN v_end_date = ALLTRIM(DATE(CTOD(%v_sys_date%) - 34)) ASSIGN v_end_date = ALLTRIM(DATE(CTOD(%v_sys_date%) - 34)) ASSIGN v_ana_date = CTOD(%v_end_date%) ASSIGN v_ana_date = CTOD(%v_end_date%) SET SESSION calcuate_days SET SESSION calcuate_days COMM COMM ******************* ******************* set script vars, note variable path set script vars, note variable path *********************** *********************** ASSIGN v_path = "D:\FY12_RK_UnitsUnrented\EXPORTS" ASSIGN v_path = "D:\FY12_RK_UnitsUnrented\EXPORTS" SET SESSION strt_export SET SESSION strt_export COMMENT COMMENT ************************ ************************ COUNT TO TEST FOR THE Audit OBJECTIVE COUNT TO TEST FOR THE Audit OBJECTIVE ************************************************ ************************************************ OPEN UnitsUnrented_%v_end_date% OPEN UnitsUnrented_%v_end_date% SET FILTER TO c_DaysDiffOdy > 5 SET FILTER TO c_DaysDiffOdy > 5 COUNT COUNT CLOSE CLOSE

15. Step1: Export report & Indicator File COMM COMM ********************* ********************* export the report – done in del format for ease of integration with SSIS export the report – done in del format for ease of integration with SSIS ***************************** ***************************** EXPORT FIELDS FIELD1 AS FIELD1' FIELD2 AS FIELD2' FIELD3 AS FIELD3' DELIMITED TO "%v_path%\UnitsUnrented_%v_end_date%" KEEPTITLE SEPARATOR "," QUALIFIER '"' EXPORT FIELDS FIELD1 AS FIELD1' FIELD2 AS FIELD2' FIELD3 AS FIELD3' DELIMITED TO "%v_path%\UnitsUnrented_%v_end_date%" KEEPTITLE SEPARATOR "," QUALIFIER '"' COMM COMM ****************** ****************** export indicator file, using the COUNTN variable which is converted to CHAR, then read by SSIS package and decision is taken based solely on the threshold –which is the COUNTN variable. NOTE: FIRST N ROWS, optional APPEND is not used export indicator file, using the COUNTN variable which is converted to CHAR, then read by SSIS package and decision is taken based solely on the threshold –which is the COUNTN variable. NOTE: FIRST N ROWS, optional APPEND is not used *************************** *************************** OPEN UnitsUnrented_%v_end_date% OPEN UnitsUnrented_%v_end_date% EXPORT TIME() + " " + DATE() + STRING(COUNT1, 10) TO "%v_path%\Indicator.txt" FIRST 1 EXPORT TIME() + " " + DATE() + STRING(COUNT1, 10) TO "%v_path%\Indicator.txt" FIRST 1 CLOSE CLOSE SET SESSION end_exprt SET SESSION end_exprt SET SAFETY ON SET SAFETY ON QUIT QUIT

16. Step2 – Create the.bat file Save the script (master or other) as a.bat file Save the script (master or other) as a.bat file

17. Step2: Screen Shot

18. Step3: Use Execute Process Task to locate the.bat file

19. Step 4: Create a Stored Procedure in SMS USE rene_db USE rene_db GO GO -- ============================================= -- ============================================= -- Author:Rene Kennedy -- Author:Rene Kennedy -- Create date: 2011-11-05 -- Create date: 2011-11-05 -- Description:Return status for upload file from acl to trigger ssis to do work -- Description:Return status for upload file from acl to trigger ssis to do work --EXEC Ia_sp_Ind_chck --EXEC Ia_sp_Ind_chck -- ============================================= -- ============================================= ALTER PROCEDURE IA_sp_Ind_Chck ALTER PROCEDURE IA_sp_Ind_Chck AS AS DECLARE @UnitsIndChck int DECLARE @UnitsIndChck int BEGIN BEGIN SET @UnitsIndChck =( select CASE WHEN ACL_Count> 3300 THEN 1 ELSE 0 END ExceptStatus SET @UnitsIndChck =( select CASE WHEN ACL_Count> 3300 THEN 1 ELSE 0 END ExceptStatus from ACL_Ind_File) from ACL_Ind_File) --selects the status dynamically--- --selects the status dynamically--- SELECT @UnitsIndChck AS UnitsIndChck SELECT @UnitsIndChck AS UnitsIndChck RETURN RETURN END END -- done in other cft task--- -- done in other cft task--- execute IA_sp_Ind_Chck execute IA_sp_Ind_Chck

20. Step 5 : Put it all together in SSIS

21. Lessons Learned Negatives: Negatives: –Buy vs Build – is true –We paid for it in terms of : Resource allocation Resource allocation Time to market (time to have reports running on the server) Time to market (time to have reports running on the server) Changing roles (no longer auditors) Changing roles (no longer auditors) Conflict of Interests (audit vs developers) Conflict of Interests (audit vs developers) Still need to determine exception management solution framework (SharePoint or ASP.NET) Still need to determine exception management solution framework (SharePoint or ASP.NET)

22. Lessons Learned Positives: Positives: – Exception Management can be a scalable solution. – Able to test drive the platform –IT is more willing to help out now that we have SQL code to look at – Answered our business need

23. ACL Take-Aways Dont hard code the paths within the ACL projects, use variable substitution and code migration will be easier! Dont hard code the paths within the ACL projects, use variable substitution and code migration will be easier! Leverage ACLs built-in variables (i.e.. COUNTN, LOW1, HIGH1, ABS1) to perform automated steps for you. Leverage ACLs built-in variables (i.e.. COUNTN, LOW1, HIGH1, ABS1) to perform automated steps for you. Use EXPORT to send an N row table- which allows other applications (ie. SSIS) to read and act on it. Use EXPORT to send an N row table- which allows other applications (ie. SSIS) to read and act on it. When using SSIS and ACL, it will be MUCH easier if both apps are on a single production server. When using SSIS and ACL, it will be MUCH easier if both apps are on a single production server.

24. Q & A Thank You! Thank You!