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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.

DataAdminHowTo