Audits

Introduction to Audits

In the FLEX system, “Audits” refer to the tracking and recording of changes made to various system records. The FLEX system provides multiple methods for accessing and reviewing these audit records, ensuring transparency and accountability for data modifications.

Accessing Audit Records

There are two primary methods for accessing audit records:

1. Through Pre-formatted Audit Reports

A variety of pre-formatted audit reports are offered within FLEX, designed for common auditing needs.

• Navigation:
  • Use the Search Bar in the FLEX Main Menu.
  • Type Audit or Audit Reports into the search bar.
  • Select from the available pre-formatted audit reports.
• Available Pre-formatted Audit Reports:
  • Audit Changes To Transfer File (TC5010R)
  • Audit History
  • Audit Listing Of Accounts Payable Vendors
  • Audit Listing Of Email Address
  • Control File Audit Listing
  • Employee Trial Balance
  • Joint Owner Audit Listing
  • Operation Code Listing
  • Print Selected Audit Fields
  • Red Flag Listing
  • Teller Password Expiration Report
• Generating a Report (Example: Audit Changes to Transfer File – TC5010R):
  1. Select the desired report (e.g., Audit Changes to Transfer File – TC5010R).
  2. Enter the required parameters:
     • From Date: (e.g., 080116 for August 1, 2016)
     • To Date: (e.g., 083016 for August 30, 2016)
     • Change Type: (e.g., All)
     • Listing Sequence: (e.g., All Accounts)
  3. Click the Process button to generate the report.

2. Through the Audit Button on FLEX Screens

Many individual FLEX screens include an “Audit” button, allowing direct access to the audit history specific to the record being viewed.

• Accessing Record-Specific Audit History:
  1. Navigate to the relevant FLEX screen (e.g., Address Maintenance for an Account).
  2. Locate and click the Audit button on the screen.
• Audit History Filter Options:
  • Upon clicking the Audit button, the “Audit History” screen will appear.
  • The default filter will be set for the individual screen from which the audit was initiated.
  • To view all audit records for the current selection, click the Run button.
  • Additional filter options can be applied to refine the audit search.

Understanding Audit Records Display

Audit records are typically displayed in a bottom panel on the Audit History screen. These records provide comprehensive details about each change.

• Key Information Displayed:
  • Audit Date: Date the change occurred.
  • Audit Time: Time the change occurred.
  • Teller: Identifier of the teller who made the change.
  • WorkStation: Identifier of the workstation used.
  • User: User ID of the individual who made the change.
  • Program: Program used to make the change.
  • Action: Type of action performed (e.g., Edit).
• Viewing Audit Details:
  • To view the specific details of a change, double-click on the desired audit record in the bottom panel.
  • The “Audit Details” screen will display each field that was changed, showing both the “Before” (previous) value and the “After” (new) value.

Customizing Audit History Reports

The “Audit History” option, accessible from the FLEX Main Menu, allows users to create, save, and run customized audit reports tailored to specific needs.

• Creating a Custom Audit Query:
  1. Access “Audit History” from the FLEX Main Menu.
  2. No filter options are pre-selected by default.
  3. Use the Query For drop-down menu to select the desired audit group (e.g., Accounts Payable Vendor Audit, Address Audit, Loan Audit).
  4. Use the Field drop-down menu to select specific fields related to the chosen Query For option.
     • Note: Any field name followed by *CHANGED indicates that the report will look for any changes to that field, not a specific definition.
  5. Optionally, add Low and High parameters to filter results by a range of values for the selected fields.
  6. After selecting all desired query options and fields, click Run to display the audit records in the bottom panel.
• Saving a Custom Audit Query:
  1. Once you have configured a custom audit query, click Save As.
  2. Enter a descriptive name for your query in the “Input Query Name” dialog box (e.g., “Address Change Audit”).
  3. Click OK to save the query.
• Accessing Saved Audit History Queries:
  1. To run a previously saved query, select the Query For option.
  2. Saved queries will be displayed in the Saved Box on the left panel.
  3. Select the desired saved query name (e.g., “Address Audit”).
  4. Click Run to execute the saved query.

Maintenance Programs for Custom Reports

Adding a maintenance program as a parameter to a custom Audit History Report allows staff to differentiate between changes made by a teller in a specific maintenance program versus updates made by other programs (e.g., a loan payment through Transaction Entry).

• Common Maintenance Programs:
  • Share Maintenance: J-SH1010
  • Loan Maintenance: J-LN1010
  • Certificate Maintenance: J-CE1010
  • Account Level Maintenance: J-NA100
  • Entity/Member Level Maintenance: J-NA100
  • Address Maintenance: J-NA100
  • Phone Maintenance: J-NA100
  • Email Maintenance: J-NA100
  • Accounts Note Maintenance: J-TE1000
  • Hold Maintenance: J-TE100KR
• Examples of Custom Reports with Program Parameters:
  • Loan Due Date Changes:
    • Query For: Loan Audit
    • Field 1: LAST UPDATE DATE (with Low and High date ranges)
    • Field 2: Program (with Low and High values, e.g., J-LN1010 for both)
    • Field 3: PAYMENT DUE DATE “CHANGED (with *CHANGED in Low and High for date ranges)
  • Loan Interest Rate Changes:
    • Query For: Loan Audit
    • Field 1: INTEREST RATE “CHANGED (with *CHANGED in Low and High for date ranges)
    • Field 2: Program (with Low and High values, e.g., J-LN1010 for both)
    • Field 3: LAST UPDATE DATE (with *CHANGED in Low and High for date ranges)