Hello,
We had our auditors question us as to how we can prove that we did the upload to Jack Henry for our 314a file. Using the reply from JH as to how we can prove it:
"The very nature of the process through which the 314a file is processed through our system makes this difficult, as the process is designed to not leave remnants on the system. It is designed to scan, then print the reports and delete the file, leaving no trace on the system behind. There is no log file or anything else that indicates this.
In this process, you would obtain the file from the Treasury, and send it to our system through a data transfer. A series of programs will scan the information in this file against our core files and produce the two reports CF7750P and CF7780P. After doing this, it deletes the file that you uploaded to the system, which is why you have to upload it in again each time. When the reports print, they also spool out and leave the system.
As such, the proof for your auditors would have to be the two reports. These are produced from our system and show that a scan was done and on what date."
We have decided to save the 1st page from each of the reports that print out and date and initial them. Then we will scan all these for each year and save them as our proof that the 314a file was processed and we printed the reports.
I hope that this helps!
Kathy Yeggle
Assistant Vice President
Branch Manager
P: (267) 327-4912 | F: (267) 880-0139
60 N. Main Street | Doylestown, PA 18901
xxxxxx@YourCovenantBank.com | www.yourcovenantbank.com
-----Original Message-----
From: xxxxxx@simplelists.com [mailto:xxxxxx@simplelists.com] On Behalf Of Lee Connor
Sent: Thursday, January 19, 2017 1:44 PM
To: xxxxxx@simplelists.com
Subject: [BULK] Re: SilverLake MA-RUG YH 314a Data Validation
From our BSA Officer.
"The 314a Suspect Report has a list of the entries(names) that can be reconciled with the original downloaded list by date. "
Sent from my iPhone, Lee Connor.
On Jan 19, 2017, at 11:21 AM, David Wilson <xxxxxx@BIHBank.com<mailto:xxxxxx@BIHBank.com>> wrote:
Hello,
For the periodic upload of the 314a file…
Does anyone have an answer for auditors asking how we are doing data validation on this upload? The process we have is to upload the file to the server, and then it “disappears” overnight, once it has been imported. We assume everything was imported correctly.
Admittedly, this is a pretty weak control.
Is anyone have a more solid process to assure that all records were imported successfully? Yellow Hammer support has not been able to help.
Thanks,
David
<image001.png>
David L. Wilson, CISA, CGEIT
IT Manager
309 North Ronks Road
Bird-in-Hand, Pa 17505
Office: 717-929-2220
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