CAS Technology Solutions Group
ACL NAMING, FILING & DOCUMENTATION REQUIREMENTS
February, 2014
CAS auditors are to adhere to the following filing and naming conventions for ACL Folders,
Projects, Tables, Fields, Scripts, and Logs.
ACL FILING REQUIREMENTS:
Folders on ACL Drive:
1. In Windows Explorer, create a folder that is named for the audit on the “ACL drive” under
ACL\20xx\directorname\
2. Inside the ACL\20xx\directorname\auditname folder, create 2 additional sub-folders: “Input
Data” and “Results”. Put the original data files (before they are imported into ACL) into the
“Input Data” folder, and put the outputs (i.e., whatever is exported to Excel) into the “Results”
folder.
3. A copy of required ACL Project Documentation (as noted in ACL Documentation
Requirements on page 3 of this document) should exist within the ACL project and should be
attached to workpapers in CAAT wrap-up section (D.4), step 2.
4. After ACL work is complete, delete any unused files via Windows Explorer and delete all
unused table layouts from ACL Project Navigator window. Zip all large FILs (i.e. files with more
than 100,000 records) into a single zip file after ACL QA Review (if requested) is complete.
ACL NAMING REQUIREMENTS:
Projects:
When naming a new project in ACL:
IF THE PROJECT WILL BE USED FOR A SPECIFIC AUDIT:
 Start the name with the current year and audit ID number (YYYY####), which is the
unique identifier of the audit or project
 Follow the audit ID number with a succinct description of the related audit test
Examples: 20090010 Lending Limits.acl, 20090010 Daylight Overdrafts.acl
IF THE PROJECT WILL BE USED FOR VARIOUS AUDITS:
 Start the name with the prefix “General_Use_”
 Follow with a succinct description of the related audit test
Examples: General_Use_Cape_Approvals.acl; General_Use_ACH.acl
Tables:
The name of an ACL table will depend upon whether it is 1) original input, 2) working, or 3) final
output.
1) Original input tables (OIN_). These contain original data from a data provider: TSG, business
line, Technology Operations Services or a vendor. An original input table is considered to be the
“base”, or starting point of your queries. When naming an original input table in ACL:


Preface the name with OIN_ (original input)
Follow OIN_ with a succinct description of the data in the file
Example: OIN_AFS
2) Working tables (WRK_). These contain data derived from an original (OIN_) table or tables,
used repeatedly during the execution of scripts. An example of a working table is a new table
created from merging two OIN_ tables. When naming a working table:
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

Preface the name with WRK_ (working)
Follow WRK_ with a succinct description of the data in the file
Example: WRK_AFS_and_Lending_File_Merge
3) Output tables (OUT_). These are the final output tables or reports.


Preface the name with OUT_ (output file or report)
Follow OUT_ with a succinct description of what is contained in the output table
Example: OUT_Lender_Limit_Exceptions
Fields:
When importing a table into ACL, you should use the names of the data fields provided by the
data provider.
Field names can be changed when creating subsequent tables (WRK_ or OUT_). It is a good
practice to keep the name the same as it is on the original input file; however, a field name on
the original input file may be cryptic or confusing. In these cases, the field can be renamed to
something that is meaningful to anyone else who will be using the ACL project.
For example, the original input file from the business line contains a field labeled “OB”, which has
been identified as the obligor number. When you create subsequent tables using this field, you
could rename it to “Obligor Number”, which is meaningful to the user.
COMPUTED (user-defined) fields, which are custom fields created by the user, should be readily
identifiable on ACL tables. Common reasons for creating COMPUTED fields: to derive a result
from using a mathematical formula (e.g., number of days = date1 – date2), to enhance code
values with descriptions (e.g., product code DDA = Demand deposit, TDA = Time deposit, etc.)
and to change the format of a field (e.g., to allow the joining of two tables in which the key
fields have different formats).
When creating a new COMPUTED field:
 Preface the name with C_
 Follow C_ with a succinct description of the data field (e.g., C_PartialAccount)
When creating a new VARIABLE in a script (advanced ACL concept):
 Preface the name with V_
 Follow V_ with a succinct description of the variable (e.g., V_Counter1)
Scripts:
Scripts should be named in a manner that creates an outline in the ACL project navigator. In
other words, scripts should be prefixed so that they appear in the project navigator in the order
in which they are run, as shown below.
Example:
A01_Imports
A01a _Import (naming convention if “A01_Imports” executes this script)
A02_Processing
A02a _Extracts (naming convention if “A02_Processing” executes this script)
A02b_Joins (naming convention if “A02_Processing” executes this script)
A02b1_Summarize (naming convention if “A02b_Joins” executes this script)
A03_Outputs
Logs:
If multiple logs are being created in a single ACL project (for advanced ACL users), each log
name should be prefaced with LOG_
Example: LOG_DuplicateInvoiceTest
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ACL DOCUMENTATION REQUIREMENTS:
CAS auditors should document their ACL project to the extent that will enable:
 Various audiences to understand the project.
 The work to be re-performed.
Although ACL logs provide a complete history of most actions performed in a project, it is
prudent to provide clarity of a data analysis with additional comments:
1. Copy and paste entire "ACL DOCUMENTATION TEMPLATE" from page 4 of this document into a
new Word Document. Replace z’s in template below as appropriate and replace examples with
actual descriptions appropriate to the project being documented. Attach completed Word
doc to section D.4 (CAAT Wrap-up Steps, step #2) of workpapers.
2. In ACL project, create a new script named "_Documentation", then copy and paste the
completed template from Word into the new script. WARNING: The format will appear to be
unreadable at first. To make script readable, simply close script and save when prompted.
Then re-open script. All formatting will have been automatically converted to plain text in the
ACL script and will be readable. NOTE: The “_Documentation” script is not intended to be run
but serves as a means of keeping documentation integrated into the ACL project. (Underscore
in name of script will ensure that this script always appears first in Project Navigator window).
3. If scripting was performed within the ACL project, include a comment at the top of each
script that briefly describes the purpose and processing of the script. NOTE: If the script performs
multiple commands and/or calculations, include comments before each section of code within
the script so that the process, purpose, and flow of the script can be understood by someone
who has never before viewed it nor worked on the audit.
NOTE: "ACL DOCUMENTATION TEMPLATE" is now on page 4 of this document.
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ACL DOCUMENTATION TEMPLATE
ACL Project Overview:
Audit Name:
Audit ID:
Date ACL Project Developed:
ACL Project Author(s):
ACL Project Objective:
ACL Analysis Description:
ACL Project Path:
ACL Project Name:
zzzzzzz
####
zz/zz/zzzz or Month, Year
e.g., Joe Jones
e.g., To compare SAR rpt with business line report and identify discrepancies; OR: To perform
population analysis/sample validation.
e.g. Basic Process was to filter out unneeded SEI codes and dates from OIN_table1 and then to
join result with OIN_table2 to view matches and mismatches
e.g., \\Vdmmn14glbsm03\Corpaudit_Prod01$\ ACL\2012\Wade\AP Audit\
e.g., yyyy####_Vendor_Testing.ACL
Input #1:
ACL Table Name:
Original File Name:
Person Providing Data:
Department/Area Providing
Data:
Application/Source System:
TSG Information Extract
Request Nbr:
As-Of Date of Data:
Data Description:
Manual Edit(s):
Records or fields
added/deleted/modified after
having obtained the data and
prior to import.
Integrity Check(s):
(i.e., Checks performed to
confirm that data within the
source dataset was imported
accurately and completely.
e.g., OIN_zzzzzzz
e.g., zzzzzzz.xls
e.g. Annette Troshynski, Sean Smith, Fred Jones
e.g., TSG, Treasury Services Department, the Operations Area of the Federal Reserve
e.g. FDW database OR AFS application
e.g., IE request 1234 OR N/A
zz/zz/zzzz
e.g., File contains all loans with collateral that were new in 2011.
e.g., Deleted all spreadsheet fields to the right of column Q prior to import into ACL. Original
spreadsheet before edits is “abc.xls” in the “Input_Data” folder. Spreadsheet after edits is in
same folder but is named “abc_2.xls.”
e.g. Verified that ACL tables' record counts/field totals were as expected [by comparing ACL data
to external source zzzzzzz] and/or [by comparing ACL data to original input file(s)] and/or [by
asking DBA/TSG/business line programmer for expected record counts and/or field totals].
Output #1:
ACL Table Name:
Exported File Name:
Data Description:
Manual Edit(s):
Records or fields
added/deleted/modified after
ACL export and prior to usage
e.g., OUT_zzzzzzz
e.g., zzzzzzz.xls
e.g., Output file contains the exceptions to business rules a.1-a.4 in document abc.doc in path
123; OR: Output file contains the result of filtering out fee codes x, y, and z, which are not in
scope for this audit; OR: Output file contains the results of joining table OIN_zzzzzzz to table
WRK_zzzzzzz.
e.g., After ACL analysis was complete, deleted all rows from spreadsheet that had a Loan_Type
(column G) of ‘xyz’ due to new information from the business line.
Output #2:
ACL Table Name:
Exported File Name:
Data Description:
Manual Edit(s):
Records or fields
added/deleted/modified after
ACL export and prior to usage
Validation of Outputs:
Integrity Check(s) For All
Outputs:
Checks performed during
processing to confirm that the
outputs are accurate and
complete
e.g., OUT_zzzzzzz
e.g., zzzzzzz.xls
e.g., Output file contains the exceptions to business rules a.1-a.4 in document abc.doc in path
123; OR: Output file contains the result of filtering out fee codes x, y, and z, which are not in
scope for this audit; OR: Output file contains the results of joining table OIN_zzzzzzz to table
WRK_zzzzzzz.
e.g., After ACL analysis was complete, deleted all rows from spreadsheet that had a Loan_Type
(column G) of ‘xyz’ due to new information from the business line.
e.g., Ran “CLASSIFY” command on relevant fields to inspect all possible field values and to verify
successful filtering prior to extract; OR: Ran count and total commands as appropriate to verify
that SUMMARIZE/JOIN produced correct results
Special Procedures for Running Scripts:
ACL Scripting Notes: e.g., Specific dates and loan types within the “A03_Processing” and “B01_CompareFiles” scripts
should be reviewed and possibly changed prior to running these scripts.
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