Financials ERP

Financials ERP

ARC Security and Workflow

November 9, 2011

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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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What is a Transition Session?

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

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Security 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

THE 3 STAGES

THE APPROVERTHE INITIATOR

Security & Workflow: The Players

THE INQUIRER

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Move things Forward

Security Balancing Act

With Sufficient Controls

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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



Separate approver not required

Supplemental approval for certain transactions



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)



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

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Facilitated Q&A

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Meeting Wrap-Up

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:

[email protected]

• 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

Financials ERP

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