Data Change Workflow Using Rollback Snapshots for Faster Approval
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Solution Overview
Problem
Current systems for data change management in financial institutions are time-consuming and require multiple users to ensure compliance with regulations, such as the Sarbanes-Oxley Act, leading to inefficiencies in processing and verifying data changes.
Innovation Solution
A method and system for processing data change requests that involve executing requests in a rollback mode, generating a snapshot, and transmitting it to an approver for approval before committing the changes, thereby reducing the number of users and time required while maintaining regulatory compliance.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Reliability
If multiple users are involved in processing data changes through sequential approval steps, then regulatory compliance and data integrity are ensured, but the processing time increases significantly (8-24 hours per change)
Solution Approach 1:
The system performs preliminary actions by executing data changes in rollback mode first, generating snapshots and audit logs before final approval. This allows the change to be prepared and validated in advance, reducing the time required for final commitment while maintaining compliance through pre-established audit trails.
Solution Approach 2:
The system creates a copy of the data change in the form of a snapshot that can be reviewed and approved independently. This copy serves as a preliminary version that can be validated without affecting the actual data, enabling parallel review processes and reducing sequential waiting time while ensuring integrity through comparison with the original.
2Reliability
If multiple users are assigned different steps in the data change process, then separation of duties and fraud prevention are achieved, but the number of users and complexity of coordination increase
Solution Approach 1:
The system merges multiple approval steps into a single automated workflow managed by the data processing system. The rollback mode execution, snapshot generation, and audit logging are combined into one integrated process that maintains separation of duties through automated controls rather than requiring multiple manual user interventions, thereby reducing coordination complexity while preserving fraud prevention.
Solution Approach 2:
The system performs self-service by automatically executing changes in rollback mode, generating snapshots, creating audit logs, and managing the approval workflow without requiring manual intervention at each step. This automation maintains the separation of duties framework while eliminating the coordination burden of multiple users manually passing data through each approval stage.
3Reliability
If traditional multi-step approval processes are used, then regulatory compliance is maintained, but productivity and efficiency of data change processing decrease
Solution Approach 1:
The system enables continuity of useful action by allowing data changes to be executed in rollback mode continuously while audit logs are generated and snapshots are created in parallel. This continuous processing maintains regulatory compliance through uninterrupted audit trail generation while significantly increasing productivity by eliminating idle waiting periods between sequential approval steps.
Solution Approach 2:
The system performs preliminary compliance actions by generating audit logs and snapshots before final approval is obtained. This preliminary preparation of compliance documentation allows the actual data change processing to proceed more quickly without compromising regulatory requirements, as the compliance framework is already in place and validated in advance.
Data Source
AI summary
Systems, methods, and computer-readable storage media are described for processing data change requests. In one exemplary embodiment, a computer-implemented method receives one or more requests in a software production environment for one or more data changes to data from a requestor. The method executes the request(s) in a rollback mode. The method generates a snapshot of the executed request(s). The method also transmits the snapshot to an approver. In response to an approval of the snapshot from the approver, the method also executes the request(s) in a commit mode.