minutes - St. Louis ACL User Group

3minutes

2minutes

1minute

ACLTM ANALYTICS FOUNDATIONSJune 4, 2014 Instructor Name

Agenda

Importing Data

• Data Structure

• How ACLTM Works with Data

• OCBC

Preparing Data

• Verify

• Control Totals

Analyzing Data

• Expressions

• Unconditional Computed Fields

• Filters

• Extract

• Keyword Search

• Statistics

• Identify Top N Results

• Grouping Commands

• Summarize

• Searching for Duplicates

• Combining Data

• Relate

• Join

Reporting

• Exporting to other applications

ACLTM Analytics Environment

• ACLTM Project Components

• Organizing Your Work

• Data Analysis Cycle

ACLTM ANALYTICS ENVIRONMENTJune 2, 2014 Janene Haddix, ACDA

ACLTM Analytics Environment - Project Components

ACLTM Analytics Environment - Organizing Your Work

Windows Level

■ Create a new Windows folder for each

new ACLTM Analytics project.

■ The location of your ACLTM Analytics

project is the default working folder for

the project.

■ New files created by ACLTM Analytics as a

bi-product of your analysis are stored in

the default working folder automatically.

ACLTM Analytics Environment - Organizing Your Work

ACLTM Analytics Project Organization:

■ Create folders and sub-folders within the ACLTM

Analytics project to group items - tables, scripts,

etc.

■ Add items to folders using drag and drop

functionality.

ACLTM Analytics Environment – Data Analysis Cycle

Phases of the Data Analysis Cycle:

■ Planning – Plan your work before your start. Formulate clear objectives. Consider

remaining phases.

■ Importing Data – This phase involves locating, acquiring, and loading data into

ACLTM Analytics.

■ Preparing Data – After the data has been imported into ACLTM, you must prepare

the data for analysis. This includes assessing the data’s integrity and identifying any

integrity issues.

■ Analyzing Data – This is when the data analysis/audit objectives are performed.

Consideration needs to be given to any data integrity errors that could impair the

validity of results.

■ Reporting Results – Reporting results involves exporting data and/or creating

reports/graphs that can be given to, and understood by, a variety of audiences.

ACLTM Analytics Environment

Demo 1: Pcard AnalysisA colleague of yours has completed the yearly Pcard analysis for the last several years but has accepted a position in

another department. You have been asked to take over the analysis and complete it for the Pcard transactions

occurring in 2013.

The data files have been defined and an ACL project exists on a shared drive location for you to access. Before any

analysis, you will need to access the current ACL Project and determine if all files and supporting documents for the

analysis effort are in place. Create a local folder:

■ Windows level folder named “PCardAnalysis2013”.

■ Copy the existing ACL Project named “PcardAnalysis2013.ACL” into the directory created.

■ Make sure all the data files are included. Your colleague imported three files so you should have the tables and

.FIL data files for:

– CypressHolidays

– PcardTransactions

– ProhibitedMerchants

IMPORTING DATAJune 4, 2014 Janene Haddix, ACDA

Importing Data

Data Structure

■ Files – Named collection

of records.

■ Records – Collection of

related fields.

■ Fields – Subset of

record used to store a

particular class of data.

■ Bytes – Individual

characters that make up

fields.

Vendor InvoiceNo InvoiceDate InvAmt ProductNoVendor InvoiceNo InvoiceDate InvAmt ProductNo

11663 5981807 11/17/2013 618.30 07010439711663 5981807 11/17/2013 618.30 070104397

……

Invoice File

……

……

Importing Data

How ACLTM Analytics Works with Data

■ ACLTM reads data directly from flat files.

■ ACLTM imports and copies data from other

sources to a new (flat) ACLTM table.

Import & Copy

Link

Excel

ODBC

Delimited Files

SAP

Oracle

fields in fixedbyte positions in

ACL data file

.FIL File

Source

Data

Importing Data – Database Diagram

IT provided information on the required files for this yearly analysis and it appears one

file is missing P

PcardTransactions

AccountNumber

MerchCode

TransactionDate

PcardHolders

CardNumber

ProhibitedMerchantCodes

MerchantCode

CypressHolidays

HolidayDate

■ The PcardHolders master file

is not present in the ACL

project your colleague

created.

■ We need to import this file

in order to complete all

required objectives.

■ PcardHolders is stored in a

relational database and we

will need to access it using

ODBC (Open Database

Connectivity) technology.

Importing Data

Using ODBC to access databases

■ ODBC is a technology to access databases

such as Access, Oracle, Informix and

Sybase.

■ Requires access to the database, database credentials and the appropriate

ODBC driver.

■ ACL uses the definitions at the database

level to create the table layout.

■ In the Data Definition Wizard select ODBC.

■ On the Select Data Source dialog, select the driver for the data set name.

Importing Data – ODBC

Demo 2: PcardHolders

■ Project: PcardAnalysis2013.ACL

■ Define PcardHolders using ODBC

■ Source Data = PcardDatabase.mdb

■ Table = PcardHolders

■ Record Count = 586

PcardHoldersPcardHolders

PREPARING DATAJune 4, 2014 Janene Haddix, ACDA

Preparing Data

Verify

■ Run Verify command on all fields immediately after

importing data.

■ Verify command performs checks specific to each data

type.

■ Verify command is accessible via the Data menu.

Character Numeric Datetime

Verifies

that

every

byte…

Is a printable

character (letters,

numbers,

symbols and

international

characters).

Is recognizable

numeric data

(0-9, decimals,

negatives and

currency

symbols).

Is a valid

date and

not blank.

Preparing Data

Control Totals

■ Obtain records counts and control totals from data provider or source system.

■ Use COUNT and TOTAL, or STATISTICS command to regenerate record count and control totals.

■ All three commands are accessible via the Analyze menu.

Record Count

&

Control Total

Preparing Data

Demo 3: Prepare PcardHolders for AnalysisNow that you have imported the PcardHolders file, you need to verify data integrity and confirm record count and

control totals.


■ Table: PcardHolders

■ Record Count = 586

■ Control Totals on TransactionLimit = 586,915.00

■ Control Totals on MonthlyLimit = 2,748,700.00


ANALYZING DATAJune 1, 2014 Janene Haddix, ACDA

Analyzing Data - Expressions

Expression

Output

(L, C, D, N)

Expression

Output

(L, C, D, N)

Computed

Field(C, D, N)

Computed

Field(C, D, N)

Filter(Logical)

Filter(Logical)

Unconditional

Same expression on

every record

Unconditional

Same expression on

every record

Conditional

Different expression for

each condition

Edit Table Layout

Conditional

Different expression for

each condition

Edit Table Layout

Command

Filters Command

Result

Command

Filters Command

Result

Global

Filters View

Global

Filters View

Edit View Filter Edit Table Layout

Add a New

ExpressionAdd a New

Expression


Computed Fields

■ Used to prepare and

analyze data.

■ Can be used to

recalculate existing

system generated

values, create new

values based on

existing data, and

combine/convert

values.

■ Define computed

fields by editing the

table layout and

clicking on the “Add a

New Expression” icon.


Unconditional

Computed Fields

■ Single expression applied

to all records.

■ Example: Define a

computed field to identify

the day of the week on

which a transaction

occurred.

■ Add computed field to the

view.

■ Use the Extract command

with a command filter to

create a file of exceptions.

Filters

■ Used to isolate subsets of data

or identify exceptions.

■ Used in conjunction with

Extract command to create

new data file containing target

records.


Extract Exceptions

■ Use the Extract command

to create a new ACLTM data

file containing a subset of

records.

■ Define a command-level

filter to isolate the desired

subset of records.

■ Name the new ACLTM data

file.

■ Extract command is

accessible via the Data

menu.

Analyzing Data - Extract

Analyzing Data – Unconditional Computed Field

Demo 4: Determine if any transactions occurred on the weekendThe Cypress temporary staff work a normal work week Monday – Friday and one of the standard tests is to identify

transactions that occurred on the weekend. Use the CDOW() (character day of week) function to display the day of

the week on which the transaction occurred. Use this field to identify and isolate the weekend transactions. Extract

to a new ACL file for further analysis.


■ Table: PcardTransactions

■ Computed Field: c_DayOfWeek

■ Expression: CDOW(TransactionDate, 3)

■ Result Table: WeekendTransactionsPcardTransactionsPcardTransactions

Analyzing Data – Filters

Demo 5: Filter using a keyword searchThere are products available at some of the office supply stores that are prohibited purchases including food or drink

items. You are developing a filter for a keyword search that can be updated as new products are identified to be excluded.

The FIND() function is used to search for character strings within a field. NOTE: FIND() is the only time working with

character strings that the search string is not “case sensitive.” Extract the results to a new ACL file for further analysis.



■ Filter: f_KeywordSearch

■ Expression: FIND(“cand”, Description) OR

FIND(“cola”, Description) OR FIND(“lique”, Description)

■ Result Table: KeywordSearch

PcardTransactionsPcardTransactions

Analyzing Data – Identify Top N Results

Statistics

■ Statistics command used for

generating counts, totals, averages

and top N number of High/Low

Results.

■ Select Numeric or Date field for

Statistics.

■ Statistics command is accessible via

the Analyze menu.

Analyzing Data – Identify Top 10 Monthly Limits

Demo 6: Identify the Top 10 Monthly Limits

Use Statistics command to identify the top 10 monthly limits. Extract the results to a new ACL table for further

review.



■ Statistics On: LimitMonthly

■ Filter: LimitMonthly >= HIGH1

■ Result Table: Top10MonthlyLimits


Analyzing Data – Grouping Commands

Summarize

■ Summarize command used for

creating group summaries on

combination of values across

multiple character and date fields.

■ Subtotaling option.

■ Output includes count of records for

each value.

■ Other fields option to list additional

fields in output.

■ Summarize command is accessible

via the Analyze menu.

Analyzing Data – Grouping Data

Demo 7: Determine the total amount spent on each card per visit to a vendor on one day

Use Summarize command to group by card, vendor and date to determine the amount total spent on each visit.

Save the result to an ACL table for further analysis.



■ Summarize On: AccountNumber, VendorNumber,

ReferenceNumber and TransactionDate

■ Other fields: VendorName

■ Subtotal fields: Amount

■ Result Table: PcardTransactionsSum


Analyzing Data – Searching for Duplicates

Duplicates

■ Duplicates command used to

identify records that have the same

values.

■ It can be used to identify records

where all fields are duplicated or

where duplicate values appear only

in selected fields.

■ List fields option to list additional

fields in output.

■ Duplicates command is accessible

via the Analyze menu.

Analyzing Data – Searching for Duplicates

Demo 8: Determine if any cards are used more than once at a vendor on the same dateYou need to identify any Pcards that were used at the same vendor on the same day. Using the Summarized file just

created, identify where the same Pcard was used at the same vendor on the same date. Save the exceptions in a

new ACL table for further review.


■ Table: PcardTransactionsSum

■ Duplicates On: AccountNumber, VendorNumber and

TransactionDate

■ Result Table: PcardDuplicates

PcardTransactionsSumPcardTransactionsSum

Analyzing Data – Combining Data

Relate

■ The Relate command accesses data

in multiple tables simultaneously

which allows us to recreate the

environment of a relational database.

■ Relate requires a key field to match

that exists in both tables such as an

AccountNumber or EmployeeNumber.

■ ACL matches many to one. Many

transactions on the same date will match to the one holiday date.

■ Relate command is accessible via the

Data menu.

Analyzing Data – Combining Data Using Relate

Demo 9: Determine if any transactions were made on holidaysCypress observes all standard holidays and staff do not work those days. A list of holiday dates for the current year

is saved in an Excel file. You need to identify any transactions that occurred on holidays. Create a View filter after

relating and Extract the results to a new ACL table for further analysis.


■ Parent Table: PcardTransactions

■ Child Table: CypressHolidays

■ Parent Key: TransactionDate

■ Child Key: HolidayDate

■ Result Table: HolidayTransactions

CypressHolidaysCypressHolidaysPcardTransactionsPcardTransactions

Analyzing Data – Combining Data Using Relate

Demo 10: Determine if any transactions were made to prohibited merchantsCypress has created a list of merchant codes at which purchases are prohibited. The list includes airlines, hotels and

rental cars because Pcards are not to be used for travel expenses. You need to identify any transactions that

occurred at prohibited merchants. Extract the results to a new ACL table for further review.


■ Parent Table: PcardTransactions

■ Child Table: ProhibitedMerchants

■ Parent Key: MerchCode

■ Child Key: MerchantCode

■ Result Table: ProhibitedMerchants

PcardTransactionsPcardTransactions ProhibitedMerchantsProhibitedMerchants

Analyzing Data – Combining Data

Join

■ Join command combines fields from

two different tables to create a third

table consisting of matched or

unmatched records from each table.

■ Join requires a key field to match

that exists in both tables such as an

AccountNumber or

EmployeeNumber.

■ ACL matches records many (Primary)

to one (Secondary).

■ Join command is accessible via the

Data menu.

Analyzing Data – Combining Data Using Join

1. Matched = A

2. Matched All Primary = A and B

3. Matched All Secondary = A and C

4. Matched All Primary All Secondary = A and B and C

5. Unmatched = B

PcardHoldersPcardTransactions

B CA

PcardHolders


Analyzing Data – Combining Data using Join

Demo 11: A standard test conducted each year determines if any cards were not used

during the year.To determine which cards were not used, we compare the list of available cards to the transactions occurring during

the year. If any card was not used, there would be no transactions. Cards not used within the past year are

reviewed to determine if employees have left the organization or have been reassigned to jobs where Pcards are not

used.

■ Project: PcardAnalysis2013. ACL

■ Primary Table: PcardHolders

■ Secondary Table: PcardTransactions

■ Primary Key: CardNumber

■ Secondary Key: AccountNumber

■ Join Type: Unmatched

■ Result Table: CardsNotUsed


REPORTINGJune 4, 2014 Janene Haddix, ACDA

Reporting – Export to Other Applications

ExportingThe Export command sends analytic

results to other applications to provide

to business owners for review, include in

reports or to import into audit record

keeping tools. ACL can export files in

formats that are readable by other applications. You can export to the

following formats:

■ Access■ Clipboard■ dBase III Plus■ Delimited■ Excel■ Text■ XML

■ ACL GRC

■ Export command is accessible via

the Data menu.

Reporting

Demo 12: Export your results to Excel for review

Export the seven result tables to Excel 2007 – 2010 on different worksheets in the same Excel File (.xlsx).


■ Excel File: PcardAnalyticsResults.xlsx

■ Table 1: WeekendTransactions

■ Table 2: KeywordSearch

■ Table 3: Top10MonthlyLimits

■ Table 4: PcardDuplicates

■ Table 5: HolidayTransactions

■ Table 6: ProhibitedMerchants

■ Table 7: CardsNotUsed

THANK YOUCONTACT ME AT [email protected]

minutes - St. Louis ACL User Group

Documents

Transcript of minutes - St. Louis ACL User Group