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• Please set cell phones and pagers to silent
• Handouts
• Note cards for questions
• Sign-in sheets
Housekeeping
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Presenters:
• Anne Sullivan, Executive Vice President for Finance
• Alice Gleason, Deputy Controller / FIN ERP Functional Lead
• Joe Harney, VP Procurement Services / FIN ERP Procurement Sponsor
• Kate Sheeran, Change Management Lead
Welcome and Introductions
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• Harry Aristakesian, Internal Audit• Rebecca Balentine, SPA• Fran Caracappa, CUMC Controller• Paul Cassidy, Engineering• Marlene D’Agostino, Anesthesia• Brian David, Medicine• Jo-Ann Espaillat, Irving Institute• Joel Fine, Libraries• Jody Grunfeld, MSPH• Karen Hoffer, Lamont• Hugh Horowitz, Procurement• Andy Hrycyk, General Studies• Sean Johnson, Procurement• Joe Labetti, Procurement• Joann Li, Pathology
• Wil McKoy, CUMC Budget Office• Donna Messina, Astronomy• Ed Moroni, Law School• Scott Norum, A&S• Dorothy Pearlman, Internal Audit• Michael Reich, Procurement• Patricia Reid, Treasury• Narda Romero, P&S Central• Audrey Rosenblatt, Arts & Sciences• Dionida Ryce, Basic Sciences• Joshua Sakolsky, Art History and Archeology• Eileen Valerio, Internal Audit• Mary Ann Wanner, Dental School• Anna Wojnarowska, Business School
Welcome and Introductions
Core Team Members:
Extended Team Members and Subject Matter Experts:
• Karen Burke, CUMC Dept Surgery• Kim Chadourne, Budget Office• Kevin Cook, SPF• Alice Gleason, Controller’s Office• John Hogan, Facilities
• Mike Kerstan, Controller’s Office• Brendan Mallee, EVPF• Terry Park, Purchasing• Ting Shi, CUMC Controller’s Office
Financials ERP Scope
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Project Scope
• Redesign our Chart of Accounts in PeopleSoft Financials
• Implement a new General Ledger (core accounting module)
• Implement new Accounts Payable and Purchasing modules
• Implement Project Costing module; allows us to track certain activity across fiscal years
• Retrofit current Budget Tool for a new Chart of Accounts
• Retrofit HR / Labor Accounting system for a new Chart of Accounts
• Design New Reporting—queries “in the system” and from the data warehouse
• Conduct Training
FY’11 FY’12 FY’13
2010 2011 2012
Jul -Sept
Oct – Feb Mar – Jul Jul – Dec Jan – May Jun - Dec
Prep Analyze &COA Design
Design Build Test & Training
Deploy/Support
3 months 5 months 5 months 6 months 5 months 6 months
System Go-Live - July 1, 2012
FIN ERP is our Project
ARC is the name of our new financial system
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ReportingProcurementFinance
Application Security
General Ledger
Budget
Project Costing
Chart of Accounts
Operations and Maintenance
Integrating Systems (i.e. Advance, PAC/LA, SIS, etc.)
Enabling Technology and Infrastructure
Purchasing
Accounts Payable
P-Card
PeopleSoft
Financial Data Store
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Key System Components of the FIN ERP Solution
Security and Workflow Comparison
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WHERE do transactions start?
FFE & AP/CAR Modules
WHAT data can you transact on?
Restricted by Departm
ent
PeopleSoft Pages Approval by
Department
Certain Natural Accounts ExcludedChartField Security
Security and Workflow Comparison (Cont’d)
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WHO has to approve?
FFE / AP Final Approval +
DAF (if needed) +
Privileges (if needed)
HOW do you report?
• Access to Reports & Reporting Tools
• Access to Departments
• Access to Payroll Detail (PAD)
PeopleSoft Workflow Reporting Security
• Access to Reports & Reporting Tools
• Access to Departments
• Access to Payroll Detail (PAD)
• PLUS: Access by ChartField owner
Applying Sufficient Controls
Moving a Purchase Transaction Forward
Go to Voucher Page Create a Voucher Pay a Vendor
The Balancing Act in Action
Set Approval RulesSystematically separate
duties + set $$ thresholdsSet a review process
We achieve this by assigning roles…..14
STAGE 1 – INITIATING A TRANSACTION
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Roles for the Initiator
Page-Level Role Examples:
JOURNAL ENTRIES
AP VOUCHERS
ChartField Security Roles:
Can initiate for any Dept
Can only select certain Natural Accounts
STAGE 2 – APPROVING A TRANSACTION
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Roles for the Approver
Data Security Roles:
JOURNAL ENTRIES
AP VOUCHERS
Page-Level Role Examples:
Workflow Roles:
Can only see his/her Depts
Can only approve certain Natural Accounts
Workflow = Routing between Roles based on Rules
STAGE 3 – INQUIRY & REPORTING
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Roles for the Inquirer
Reporting Roles:
• ARC Transaction Inquiry
• ARC Reporting
• Financial Data Store Reports
Data Security Roles:
Can only see his/her Depts
Can see all Natural Accounts
How Approvals Generally Flow
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1. Dept inputs transaction
2. Departmental approval as required – generally all departments on the transaction
3. Ad hoc additional approval can be added for Procurement
If criteria are met, special approval may be required (e.g., SPF for certain transfers)
If criteria are met, it may require Central approval (e.g., AP for certain vouchers)
Workflow is based on a set of rules, each rule has a criteria and a routing:• Criteria determines if a transaction should be routed (e.g., a cost transfer to a grant account)
• Transactions that meet the criteria are routed to users based on workflow roles (e.g., SPF)
If approvals are received, transaction is processed
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How Workflow Looks in ARC
- View Predefined Transaction Approval Routing Path for a Requisition
Department Approval
Stage
Special Approval
Stage
Central Purchasing
Approval Stage
Approvers
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Transaction Entry Requisitions & Change Orders
Department Approval Separate approver required
Requires approval from every dept charged
Based on Dollar Amount
Special Approval Prior Approval for certain commodities and services
Central Approval Central Purchasing for services, certain commodities and certain dollar thresholds
Lower Limit Upper Limit
$0 $500
$500 $2,500
$2,500 $15,000
$2,500 $30,000
$2,500 $100,000
$2,500 $500,000
$15,000 $500,000
$500,000 $1,000,000
$500,000 $2,000,000
$500,000 $5,000,000
$500,000 $10,000,000
$500,000 Unlimited
Transaction Approvals
Dollar Limits
Security & Workflow – Rules for PO
Notes:•Purchasing does not require a purchase order for goods under $500 (a requisition is required for services at all dollar thresholds)
•More than one dollar limit can be assigned (e.g., an approver can have $0-$500 AND $500 -$2,500).
•Self-approval may be available for small offices and departments, as determined by the senior financial officer for the school or division and central Finance, and will require additional monitoring and review process.
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Transaction Entry
Non-PO Voucher PO Voucher
Department Approval
Separate approver required > $500
Supplemental approval for certain transactions
Requires approval from every dept charged
Based on Dollar Amount
Separate approver not required
Supplemental approval for certain transactions
Requires approval from every dept charged
Based on Dollar Amount
SPF Approval Journal Vouchers on Grant transfers>90 days
Journal Vouchers on Grant transfers>90 days
Central Approval
Review of Central AP Required
Central AP will review select vouchers on a post-transaction basis
Lower Limit Upper Limit
$0 $500
$500 $2,500
$2,500 $15,000
$2,500 $30,000
$2,500 $100,000
$2,500 $500,000
$15,000 $500,000
$500,000 $1,000,000
$500,000 $2,000,000
$500,000 $5,000,000
$500,000 $10,000,000
$500,000 Unlimited
Transaction Approvals Dollar Limits
Security & Workflow – Rules for AP
Notes:•More than one dollar limit can be assigned (e.g., an approver can have $0-$500 AND $500 -$2,500).
•Self-approval may be available for small offices and departments, as determined by the senior financial officer for the school or division and central Finance, and will require additional monitoring and review process.
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Transaction Entry
General Journal EntriesInternal Transfers: Recharge Centers
Internal Transfers: Non-Recharge
Department Approval
Mainly used by Central Departments
Separate approver required
Non-Central entries need approval from all Depts
Separate approver required
Does NOT require approval from all depts on transaction
Separate approver requirements are in discussion
Requires approval from all depts on transaction
Central Approval
Required for certain transactions (e.g., SPF, Endowmt Compl, OMB)
Required for certain transactions (e.g., SPF, Endowmt Compl, OMB)
Required for certain transactions (e.g., SPF, Endowmt Compl, OMB)
Controllers Office Approval
Required for certain Natural Accounts (e.g. Accrued Revenue)
Required for total>$4M
Required for total>$4M Required for total>$4M
Transaction Approvals
Security & Workflow – Rules for Journal Entries
Note:•For Non-Recharge Internal Transfers only – Self-approval may be available for small offices and departments, as determined by the senior financial officer for the school or division and central Finance, and will require additional monitoring and review process.
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EXAMPLE OF DEPT REPORT
Department Project Initiative Segment Total
Chemistry GG01234 Research Prog Smith 2,500
Chemistry UR43210 Rsch Incentive Smith 250
2,750
EXAMPLE OF PROJECT REPORT
Department Project Initiative Segment Total
Chemistry GG01234 Research Prog Smith 2,500
Medicine GG01234 Research Prog Jones 1,650
3,150
Reporting Security
Department Reports
•These reports are designed with Department Security
•Users can see their Dept’s share of Project, Initiative, Segment, etc.
•Most reports and system inquiries are based on Dept Security
Chartfield Reports
These special reports utilize “Ownership” of a Project, Initiative or Segment
Owners can see all activity for these ChartFields, across Departments
Payroll Information
•Detailed payroll can be restricted (“PAD”)
•We can also restrict certain users from seeing payroll by natural acct
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Moving to ARC – Convert Page Level Roles & Workflow
Journal Entry 1 –Fund Transfers
Old DAF/FFE/AP Modules
Journal Entry 3 –Expenditure Corrections
Inter-Departmental Invoices
Journal Entry 5 – General Journal Entries
AP Entries
Requisitions
Change Orders
FFE / AP Final Approval +
DAF (if needed) +
Privileges (if needed)
PS Workflow Roles
1. Modules into Pages
2. DAF/FFE Approvals into Workflow
ARC Pages
AP Journal Vouchers
Internal Transfers
General Journal Entries
AP Vouchers
Requisitions
Change Orders
Level 4
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Level 5
Level 3
Level 2
Level 6
Level 7
Level 8
Moving to ARC – Assign Department Access
Security can be assigned at any level, but can’t have exclusions in a tree level
Single Application Form Separate Set Up
Budget Checking (Commitment Control)
ARC
Project Costing
Accounts Payable
Purchasing
E-Pro
P-Card
General Ledger
Integrating Systems Security Set Up
PSS
Certain Vendors
Staples
Budget Tool
FFE
Cash Module
ZT Time Entry
Detail Payroll Data (“PAD”)
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PAC
Integrating Systems
SIS
Advance
Others
ARC Inquiry
Reporting Systems
ARC Reporting
Financial Data Store
Legacy DWR & DARTS
Living in ARC – Getting Set Up with Security
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Manager School / Dept Security Admin(a/k/a DAF/FFE)
User
Single Finance Form
E-mail process flow
Training / Knowledge Check
Central Finance (if special role)
CUIT Security Admin for ARC
FFE Security Module for FFE
Living in ARC – What Security Set Up Looks Like
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Roles Tab in ARC
Example of Approver Role
This is where Depts are assigned
ARC Training Timeline
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Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep
CORE ARC TRAINING
TRANSITION SESSIONS
Transition Session
#1
Transition Session
#2
Transition Session
#3
Transition Session
#4
Transition Session
#5
Transition Session
#6
Transition Session
#7
Transition Session
#8
Transition Session
#9
Transition Session
#10
Follow-Up Training
Plan Training Design Training Build TrainingPilot Training
Wave 1: Deliver WBT (Introductory Level)Wave 2: Deliver WBT & ILT (Detail level)
2011 2012FY12 FY13
Design TestBuild Deploy/Support
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Project Resources
• Review FIN ERP Project Website:
http://www.finance.columbia.edu/fin_erp
• Send Questions to FIN ERP Project Email Address:
• School / Admin Unit Liaisons (see following slide for detailed list)
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Your Extended Support Network: FIN ERP School/Admin Unit Liaisons
Alumni and Development – Hannia Smith
American Assembly - Karla Garcia
Architecture - Elizabeth Alicea
Arts and Sciences - Ellen Binder
Athletics - James Grate
Business School - Janet Horan
Columbia College - Andrea Burrell
Continuing Education - Karyn Smith
Columbia Technology Ventures - Tony Cerone
CUMC - Raquel Marin-Oquendo
Earth Institute – Paige Lyne
Facilities - Barbara Tracy
Finance - Lisa Rogerson
General Counsel - Helene Newman
General Studies - Robert Hoffmeister
GSAS - Rebecca Hirade
Journalism School – Lucia Viterbo
Kraft Center for Jewish Life - James Levin
Lamont Doherty Earth Observatory - Edith Miller
Law School - Gabriele Werffeli
Libraries - Kristine Kavanaugh
President’s Office - Kate Townsend
Provost’s Office - Michelle Baggan-Bacchus
Public Affairs/Government and Community Affairs - Allen Poole
Research - Debbie Stiles
School of Engineering and Applied Science - Anna O’Neill
School of International and Public Affairs - Patrick Bohan
School of the Arts - Barbara Batcheler
Social Work - Cynthia Kong
Student Administrative Services - Marcela Ruano
The School at Columbia – Jane Tian