OU FISCAL YEAR AUDIT - EA TEAM
Information Technology General Controls and General Ledger Controls
Enterprise Application Documents for Audit and how to get them:
1 - Finance system changes run the queries below as SYSDBA and make sure you change the date to the audit year date.
SQL> select * from fimsmgr.furvers
where furvers_stage_date > '30-JUN-2018';
SQL> select * from general.gurpost
where gurpost_applied_date > '30-JUN-2018' and instr(upper(gurpost_patch),'FIN') > 0;
2 - Get the Banner Finance Release Notes from Ellucian Hup.
3 - Finance Upgrades - Get screen shot of all the financial upgrades on Ellucian Solution Manager for that audit year.
4 - Were any accounting personnel terminated during the year under audit? - Ask Gerriann Reimann
5 - Chart of Accounts: can you tell if any new account codes were created in FY19? - Ask Gerriann Reimann
6 - Data Interfaces: Do we still have FWRRCON job has it been run? - Check UC4 for the details of the job
7 - Logical Access Controls: - General Ledger access privileges list: Look into the previous audit year General_Ledger_Users file in the Share Drive and the query to be run is in the text file.
8 - Change Management: For change management, provide a sample of a Data fix foot print ticket that have the approval of a data steward. Note that a ticket with Data Steward's approval is the best one to pick.