Copyright © 2005, SAS Institute Inc. All rights reserved. SAS ® Corporate Compliance – A case study for developing reusable J2EE applications Zhiyong Li Lead Application Architect SAS Pharmaceutical / Corporate Compliance Software Development

Copyright © 2005, SAS Institute Inc. All rights reserved. 2 Agenda  Background  SAS Drug Development Key Architecture Components  Reuse  Summary  Demo

Copyright © 2005, SAS Institute Inc. All rights reserved. 3 The Sarbanes-Oxley Act of What is It?  Contains 11 Titles, 66 Sections §404 – Management Assessment of Internal Controls §302 – Corporate Responsibility for Financial Reports §409 – Real-time Issuer Disclosures

Copyright © 2005, SAS Institute Inc. All rights reserved. 4 The Sarbanes-Oxley Act of Who is Impacted?  All public companies  Foreign-based companies / foreign subsidiaries of US companies  Chief Executive Officer and Chief Financial Officer  Finance, internal audit, audit committee of the Board of Directors, Chief Risk Officer, Chief Audit Officer  IT, Sales & Marketing, Shipping & Receiving… theoretically the entire company

Copyright © 2005, SAS Institute Inc. All rights reserved. 5 SAS ® Corporate Compliance  Secure, auditable repository, versioning, electronic signatures  Highly configurable  Assessment-oriented workflow  Documentation for control procedure, testing activities, issues, etc.  Report for viewing control effectiveness, outstanding issues, etc.  J2EE web application with zero footprint client

Copyright © 2005, SAS Institute Inc. All rights reserved. 6 SAS ® Drug Development  Centralized object repository, versioning and electronic signature  Enables compliant environment  Data transformation and integration  Data exploration  Statistical analysis and reporting  Study reports and submissions  (Very) Thin client

Copyright © 2005, SAS Institute Inc. All rights reserved. 7 SAS Drug Development and SAS Corporate Compliance Key Comparison  Similarities Compliant solution −Strong audit trail and security functionalities Web-based platform Content Management functionality −objects, documents, versioning, electronic signing  Differences SAS Drug Development −Clinic trial oriented concepts (studies, protocols, submissions) −Java Swing applications SAS Corporate Compliance −Process oriented workflow for control self assessment

Copyright © 2005, SAS Institute Inc. All rights reserved. 8 Agenda  Background  SAS Drug Development Key Architecture Components  Reuse  Summary  Demo

Copyright © 2005, SAS Institute Inc. All rights reserved. 9 SAS Drug Development Key Architecture Components Firewall WebDAV Server SASServerSASServer Data Server AppServer Mapped Drive\Web Folder WebServer HTTPS Oracle

Copyright © 2005, SAS Institute Inc. All rights reserved. 10 Client  User Interface HTML, Javascript and Java Swing applications  Client Requirements Include: Windows 98, NT, 2000 and XP Browser IE 5.5 or higher, Netscape 7.0 MAC OS10 Safari on MAC

Copyright © 2005, SAS Institute Inc. All rights reserved. 11 Web/App Server  Web-tier Handles request/request between client and server Maintains user interface flow and user’s states (sessions) Communicates with the business tier  Business-tier EJB based APIs Provides business logic services −searching, events, object management, security, audit trail, etc.

Copyright © 2005, SAS Institute Inc. All rights reserved. 12 Backend Servers  Data Storage-tier Accesses data in the backend servers. WebDAV server −Stands for "Web-based Distributed Authoring and Versioning". −Content Management: Version control, security, permission-based access, metadata Data server −Stores all objects and metadata −Stores all data, documents and files SAS server −The analytical engine: Generating all reports

Copyright © 2005, SAS Institute Inc. All rights reserved. 13 Agenda  Background  SAS Drug Development Key Architecture Components  Reuse  Summary  Demo

Copyright © 2005, SAS Institute Inc. All rights reserved. 14 Reuse - Architecture  Shares a similar architecture  SAS Corporate Compliance is built on top of SAS Drug Development  Reuses components SDD/SCC Database and Backend Servers SCC Business Tier SDD Business Tier SCC Web Tier SDD Web Tier SCC User InterfaceSDD User Interface

Copyright © 2005, SAS Institute Inc. All rights reserved. 15 Reuse – User Interface  Shares the same frame_based layout  Shares the same components / JSP tags Tree view Tab view Menu bar and menu  Dynamically generated property pages  Configures menu items, url link, etc.

Copyright © 2005, SAS Institute Inc. All rights reserved. 16 Sample SAS Drug Development Interface

Copyright © 2005, SAS Institute Inc. All rights reserved. 17 Sample SAS Corporate Compliance Interface

Copyright © 2005, SAS Institute Inc. All rights reserved. 18 Sample Configuration File <ObjectAction nameString = "control" icon = "/p21/portal/common/images/default/icons/icon_control.gif" openIcon = "/p21/portal/common/images/default/icons/icon_control.gif" > <LinkAction nameString = "Default" url ="mainContent.do?parentPath=$path$&navigate=true&fromShortcut=$fromShortcut$" targetFrame = "RightFrame" /> <LinkAction nameString = "Assign-Control" url = "assignPersona.do?actionType=edit&objectType=control&parentPath=$parentPath$&path=$path$" /> <LinkAction nameString = "My Assignments" url = "viewAssignments.do?actionType=browse&userMode=user&viewMode=pending&parentPath=$parentPath$" /> <LinkAction nameString = "Properties" url = "property.do?objectType=control&actionType=browse&parentPath=$parentPath$&path=$path$" /> <LinkAction nameString = "Audit Trail" url = "objectAuditTrail.do?objectType=control&parentPath=$parentPath$&path=$path$&entityId=$entityId$" />

Copyright © 2005, SAS Institute Inc. All rights reserved. 19 Reuse – Web-tier  Shares the same control framework Struts-based control framework Common services −Application and Session scope cache −Configuration  Business-tier independent access strategy Factory pattern to access business-tier objects

Copyright © 2005, SAS Institute Inc. All rights reserved. 20 Web-tier Architecture

Copyright © 2005, SAS Institute Inc. All rights reserved. 21 Reuse – Business-tier  EJB based services Audit trail, Search, Object Management Assessment  Reuses EJB services  Dynamically defined types and attributes Shared types: Folder, document, shortcut Product specific types: −SAS dataset, compound, protocol, … −Time period, entity, process, risk, control

Copyright © 2005, SAS Institute Inc. All rights reserved. 22 Sample Type Definition File  Typedef.xml  Typedef.xsd  I18n.xml  AttrLayout.xml Typedef.xml sdd:control control true controls com.sas.ibiomatics.p21.server.scc.control.ControlHandler 1 standardcontrol com.sas.ibiomatics.p21.server.scc.StandardIdToPathTypedefRule

Copyright © 2005, SAS Institute Inc. All rights reserved. 23 Data Access Layer  Uses Xythos to store object related data Object instances and relationships Object attributes  Uses Hibernate to access other data Users, Audit records, Signing, Registration SCC assessment, workflow and states  Same approach of accessing Hibernate functions Sessions, transactions Shared database connection pools

Copyright © 2005, SAS Institute Inc. All rights reserved. 24 Summary  Uses multiple-tier architecture Separates responsibilities  Uses best practices for each tier Presentation −Templates, shared components, configurable actions Web-tier −Shared control framework −Factory pattern for configurable accessing to business-tier Business-tier −Component-oriented design with well-defined APIs −Event-driven design for easy integration (reuse) Data-tier −Uses O/R mapping tool to manage relational data −Uses external tools to manage transactions and connections

Copyright © 2005, SAS Institute Inc. All rights reserved. 25 Agenda  Background  SDD Key Architecture Components  Reuse  Summary  Demo SAS Corporate Compliance SAS Drug Development

Copyright © 2005, SAS Institute Inc. All rights reserved. 26 Demo  SAS ® Corporate Compliance (SCC)  SAS ® Drug Development (SDD)

Copyright © 2005, SAS Institute Inc. All rights reserved. 27 Copyright © 2005, SAS Institute Inc. All rights reserved. 27