Tracking Records for Regulatory Compliance FAQS

1. What is the purpose of tracking records for regulatory compliance?

•  Tracking records for regulatory compliance ensures that every insert or update operation to the target tables is documented.
• This is crucial for businesses to provide transparent audit trails, satisfy regulatory requirements, and understand data changes over time.

2. What data needs to be tracked for regulatory compliance?

•  Typically, data that must be tracked includes:
• Insert operations: When new records are added to the target table.
• Update operations: When existing records are modified.
• Compliance metadata: Such as the Job Id, Job Name, timestamp, and operation type (Insert or Update).

3. How can tracking be implemented without using slowly changing dimensions (SCD)?

•  Instead of using slowly changing dimensions, you can create a separate tracking table (with a "_RGG" suffix) for each target table. This tracking table stores the same data as the target table, along with additional compliance-related columns. These tables can be populated directly from the integration layer during ETL processing.

4. What should be included in the tracking table?

•  A tracking table should include:
• All columns from the target table.
• Additional compliance-related columns:
• Job Id: Unique identifier for the job executing the operation.
• Job Name: Name or description of the ETL job.
• Timestamp: Date and time when the operation occurred.
• Operation Type: Indicates whether the operation was an Insert or Update.

5. When should the tracking table be populated?

•  The tracking table should be populated after the target table has been updated (i.e., after Insert and Update operations). This should occur before the end of the Integration Knowledge Module (IKM) to ensure accurate tracking and compliance data.

6. How does the Oracle Incremental Update IKM handle tracking?

•  In the Oracle Incremental Update IKM, tasks for inserting and updating records in the target table should be followed by tasks that insert corresponding records into the tracking table. These tasks should include the necessary compliance metadata (Job Id, Job Name, timestamp, operation type).

7. How can I ensure the tracking data is secure?

•  To secure tracking data:
• Limit access to tracking tables by using role-based security or user access controls.
• Implement encryption to protect sensitive data within the tracking tables.
• Ensure that only authorized personnel can view or modify the compliance-related records.

8. How do I review the tracking data for auditing?

•  Periodically, you can:
• Run reports or queries to review the tracking data.
• Check the compliance metadata (Job Id, Job Name, timestamps) for accuracy and completeness.
• Use auditing tools or dashboards to monitor the tracking data and flag any discrepancies or missing records.

9. What is the benefit of using a "_RGG" tracking table instead of modifying the target table?

•  Using a separate "_RGG" tracking table allows you to maintain a clean target table without affecting its structure. This approach also provides a clear audit trail of all operations (inserts and updates), making it easier to comply with regulatory requirements without modifying the target data.

10. Can I track operations on multiple target tables?

•  Yes, you can track operations on multiple target tables by creating a corresponding tracking table for each one, following the same structure and process outlined. Each tracking table will store records of the operations performed on its corresponding target table.

11. What happens if the tracking table is not populated correctly?

•  If the tracking table is not populated properly, the organization could face compliance issues, as it would lack the required audit trail for insert and update operations. This can result in penalties or challenges during regulatory audits. It's essential to implement robust error handling and monitoring to ensure the tracking data is accurate.

12. Can tracking records be used for historical analysis?

•  Yes, the tracking records can be used for historical analysis. By keeping detailed logs of insert and update operations, business analysts can query historical data changes to understand trends, investigate anomalies, or trace data lineage.