Transcript Transition Session

Financials ERP
ARC Security and Workflow
November 9, 2011
Housekeeping
• Please set cell phones and pagers to silent
• Handouts
• Note cards for questions
• Sign-in sheets
2
Welcome and Introductions
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
3
Welcome and Introductions
Core Team Members:
•
•
•
•
•
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
Extended Team Members and Subject Matter Experts:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
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
4
Financials ERP Scope
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
5
System Go-Live - July 1, 2012
2010
2011
2012
FY’11
FY’12
Jul Sept
Oct – Feb
Mar – Jul
Jul – Dec
Prep
Analyze &
COA Design
Design
Build
3 months
5 months
5 months
6 months
FY’13
Jan – May
Jun - Dec
Test &
Training
Deploy/
Support
5 months
6 months
 FIN ERP is our Project
 ARC is the name of our new financial system
6
What is a Transition Session?
• Transition Sessions are intended to promote awareness
and orientation to the changes that FIN ERP will bring
and prepare you for the formal training and deployment of
the new solution.
• Formal ARC System Training will begin in April 2012.
• Objectives for Today:
–
–
–
–
Introduce the new ARC Security solution
Understand what is changing and what is not changing
Provide functional overview of Security and Workflow
Review key Security interfaces
7
Key System Components of the FIN ERP Solution
Application Security
Chart of Accounts
Finance
Procurement
Reporting
General Ledger
Purchasing
PeopleSoft
Budget
Accounts
Payable
Financial Data
Store
Project Costing
P-Card
Integrating Systems (i.e. Advance, PAC/LA, SIS, etc.)
Enabling Technology and Infrastructure
Operations and Maintenance
8
Security Solution
9
Security and Workflow Comparison
WHERE do transactions start?
WHAT data can you transact on?
FFE & AP/CAR
Modules
PeopleSoft Pages
ChartField Security
10
Security and Workflow Comparison (Cont’d)
WHO has to approve?
HOW do you report?
FFE / AP Final Approval
+
DAF (if needed)
+
Privileges (if needed)
• Access to Reports & Reporting Tools
• Access to Departments
• Access to Payroll Detail (PAD)
• Access to Reports & Reporting Tools
• Access to Departments
• Access to Payroll Detail (PAD)
• PLUS: Access by ChartField owner
PeopleSoft Workflow
Reporting Security
11
Security & Workflow: The Players
THE INITIATOR
THE APPROVER
THE INQUIRER
THE 3 STAGES
12
Security Balancing Act
Move things Forward
With Sufficient Controls
13
The Balancing Act in Action
Moving a Purchase Transaction Forward
Go to Voucher Page
Create a Voucher
Pay a Vendor
Applying Sufficient Controls
Set Approval Rules
Systematically separate
duties + set $$ thresholds
Set a review process
We achieve this by assigning roles…..
14
Roles for the Initiator
Page-Level Role Examples:
ChartField Security Roles:
JOURNAL ENTRIES
AP VOUCHERS
Can initiate for any Dept
Can only select certain
Natural Accounts
STAGE 1 – INITIATING A TRANSACTION
15
Roles for the Approver
Page-Level Role Examples:
Data Security Roles:
JOURNAL ENTRIES
AP VOUCHERS
Can only see his/her Depts
Can only approve certain
Natural Accounts
STAGE 2 – APPROVING A TRANSACTION
Workflow Roles:
Workflow = Routing between
Roles based on Rules
16
Roles for the Inquirer
Reporting Roles:
Data Security Roles:
• ARC Transaction Inquiry
• ARC Reporting
• Financial Data Store Reports
Can only see his/her Depts
Can see all Natural Accounts
STAGE 3 – INQUIRY & REPORTING
17
How Approvals Generally Flow
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)
1.
Dept inputs transaction
2.
Departmental approval as
required – generally all
departments on the transaction
3.
If criteria are met, special
approval may be required
(e.g., SPF for certain
transfers)
If approvals are received,
transaction is processed
Ad hoc additional approval can
be added for Procurement
If criteria are met, it may
require Central approval
(e.g., AP for certain
vouchers)
18
How Workflow Looks in ARC
- View Predefined Transaction Approval Routing Path for a Requisition
Department
Approval
Stage
Special
Approval
Stage
Approvers
Central
Purchasing
Approval
Stage
19
Security & Workflow – Rules for PO
Dollar Limits
Transaction Approvals
Transaction Entry
Department Approval
Requisitions & Change Orders
 Separate approver required
 Requires approval from every dept charged
 Based on Dollar Amount
Special Approval
Central Approval
 Prior Approval for certain commodities and
services
 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
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.
20
Security & Workflow – Rules for AP
Transaction Approvals
Transaction
Entry
Department
Approval
SPF Approval
Central
Approval
Non-PO Voucher
Dollar Limits
PO Voucher
Lower Limit
Upper Limit
$0
$500
$500
$2,500
$2,500
$15,000
 Separate approver
required > $500
 Separate approver not
required
 Supplemental approval
for certain transactions
 Supplemental approval
for certain transactions
$2,500
$30,000
$2,500
$100,000
 Requires approval from
every dept charged
 Requires approval from
every dept charged
$2,500
$500,000
 Based on Dollar Amount
 Based on Dollar Amount
$15,000
$500,000
$500,000
$1,000,000
 Journal Vouchers on
Grant transfers>90 days
 Journal Vouchers on
Grant transfers>90 days
$500,000
$2,000,000
 Review of Central AP
Required
 Central AP will review
select vouchers on a
post-transaction basis
$500,000
$5,000,000
$500,000
$10,000,000
$500,000
Unlimited
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.
21
Security & Workflow – Rules for Journal Entries
Transaction Approvals
Transaction
Entry
Department
Approval
General Journal Entries
Internal Transfers:
Recharge Centers
 Mainly used by Central
Departments
 Separate approver
required
 Separate approver
required
 Does NOT require
approval from all depts on
transaction
 Non-Central entries need
approval from all Depts
Internal Transfers:
Non-Recharge
 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
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.
22
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
EXAMPLE OF DEPT REPORT
Department
Project
Initiative
Segment
Total
Chemistry
GG01234
Research Prog
Smith
2,500
Chemistry
UR43210
Rsch Incentive
Smith
250
2,750
Chartfield Reports
These special reports utilize “Ownership” of a Project, Initiative or Segment
Owners can see all activity for these ChartFields, across Departments
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
Payroll Information
• Detailed payroll can be restricted (“PAD”)
• We can also restrict certain users from
seeing payroll by natural acct
23
Moving to ARC – Convert Page Level Roles & Workflow
1. Modules into Pages
Old DAF/FFE/AP Modules
ARC Pages
Inter-Departmental Invoices
Journal Entry 1 –
Fund Transfers
Internal Transfers
Journal Entry 3 –
Expenditure Corrections
AP Journal Vouchers
Journal Entry 5 –
General Journal Entries
General Journal Entries
AP Entries
AP Vouchers
Requisitions
Requisitions
Change Orders
Change Orders
2. DAF/FFE Approvals into
Workflow
FFE / AP Final Approval
+
DAF (if needed)
+
Privileges (if needed)
PS Workflow Roles
24
Moving to ARC – Assign Department Access
Security can be assigned at any
level, but can’t have exclusions
in a tree level
Level 2
Level 3
Level 4
Level 5
Level 6
Level 7
Level 8
25
Integrating Systems Security Set Up
Single Application Form
Separate Set Up
ARC
FFE
Reporting Systems
Integrating Systems
General Ledger
Budget Tool
ARC Inquiry
PAC
Budget Checking
(Commitment Control)
Cash Module
ARC Reporting
SIS
Project Costing
ZT Time Entry
Financial Data Store
Advance
Accounts Payable
Detail Payroll Data
(“PAD”)
Legacy DWR &
DARTS
Others
Purchasing
Certain Vendors
E-Pro
PSS
P-Card
Staples
26
Living in ARC – Getting Set Up with Security
E-mail process flow
FFE Security
Module for FFE
User
Training /
Knowledge Check
Manager
School / Dept
Security Admin
(a/k/a DAF/FFE)
Single Finance
Form
CUIT Security
Admin for ARC
Central Finance
(if special role)
27
Living in ARC – What Security Set Up Looks Like
Roles Tab in ARC
This is where Depts
are assigned
Example of
Approver Role
28
Facilitated Q&A
29
Meeting Wrap-Up
30
ARC Training Timeline
2011
2012
FY12
Mar Apr May Jun Jul
Design
Aug Sep
Oct
Nov
Build
Dec
Jan
FY13
Feb
Mar
Test
Apr
May
Jun
Jul Aug
Deploy/Support
Sep
CORE ARC TRAINING
Plan Training
Design Training
Build Training
Pilot Training
Wave 1: Deliver WBT (Introductory Level)
Wave 2: Deliver WBT & ILT (Detail level)
Follow-Up Training
TRANSITION SESSIONS
Transition Transition Transition Transition Transition Transition Transition Transition Transition Transition
Session Session Session Session Session Session Session Session Session Session
#1
#2
#3
#4
#5
#6
#7
#8
#9
#10
31
Project Resources
• Review FIN ERP Project Website:
http://www.finance.columbia.edu/fin_erp
• Send Questions to FIN ERP Project Email Address:
[email protected]
• School / Admin Unit Liaisons (see following slide for
detailed list)
32
Your Extended Support Network:
FIN ERP School/Admin Unit Liaisons
Alumni and Development – Hannia Smith
Journalism School – Lucia Viterbo
American Assembly - Karla Garcia
Kraft Center for Jewish Life - James Levin
Architecture - Elizabeth Alicea
Lamont Doherty Earth Observatory - Edith Miller
Arts and Sciences - Ellen Binder
Law School - Gabriele Werffeli
Athletics - James Grate
Libraries - Kristine Kavanaugh
Business School - Janet Horan
President’s Office - Kate Townsend
Columbia College - Andrea Burrell
Provost’s Office - Michelle Baggan-Bacchus
Continuing Education - Karyn Smith
Public Affairs/Government and Community Affairs - Allen Poole
Columbia Technology Ventures - Tony Cerone
Research - Debbie Stiles
CUMC - Raquel Marin-Oquendo
School of Engineering and Applied Science - Anna O’Neill
Earth Institute – Paige Lyne
School of International and Public Affairs - Patrick Bohan
Facilities - Barbara Tracy
School of the Arts - Barbara Batcheler
Finance - Lisa Rogerson
Social Work - Cynthia Kong
General Counsel - Helene Newman
Student Administrative Services - Marcela Ruano
General Studies - Robert Hoffmeister
The School at Columbia – Jane Tian
GSAS - Rebecca Hirade
33