Payroll Audit System User Guide -...
Transcript of Payroll Audit System User Guide -...
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Payroll Audit System User Guide
Overview The Payroll Audit System is designed to assist the payroll service bureau in “scrubbing” payroll data and
identifying exceptions before payrolls are submitted to the queue to be processed as well as an ongoing
basis. The system consists of two sections: scheduled audits and pre-process audits. Both are
configurable individually and allow for a great amount of flexibility.
The scheduled audits can be run on any number of schedules, using dynamic date parameters.
Scheduled audit results are sent via HTML formatted e-mails to any number of recipients.
The preprocess audits are configured to show up in the payroll software by using a customized payroll
submit screen. Upon entering the payroll submit screen, the pre-process audits are executed and any
exceptions are displayed on the screen. The pre-process audits can be configured as either mandatory
or approvable. Mandatory audits must be corrected before the payroll is submitted. Approvable audits
may be approved and the approver, along with the time and date, are logged into the system for
reporting on later.
**This user guide is designed for use with version 2.1 and up of the Payroll Audit System. If you are still
on version 2.0, please contact Baker Technology Consulting to obtain an upgrade.
Last Updated: 4/13/2012 4:00 PM
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Contents Overview ....................................................................................................................................................... 1
Scheduled Audits .......................................................................................................................................... 4
Overview ................................................................................................................................................... 4
Manage ..................................................................................................................................................... 4
General Information ............................................................................................................................. 4
Email Information ................................................................................................................................. 5
Schedules .............................................................................................................................................. 5
SQL Query Code .................................................................................................................................... 6
Run ............................................................................................................................................................ 7
Pre-Process Audits ........................................................................................................................................ 8
Overview ................................................................................................................................................... 8
General Information ................................................................................................................................. 9
Approvals .................................................................................................................................................. 9
Target Databases ...................................................................................................................................... 9
SQL Query Code ...................................................................................................................................... 10
Employee Audits ................................................................................................................................. 10
Company/Payroll Audits ..................................................................................................................... 10
Payroll Submit Screen ................................................................................................................................. 11
Job Requests Screen ................................................................................................................................... 13
Reporting .................................................................................................................................................... 15
Reports List ............................................................................................................................................. 15
Logs ............................................................................................................................................................. 16
Scheduled Audits .................................................................................................................................... 16
Filters ................................................................................................................................................... 16
Pre-Process Audits .................................................................................................................................. 17
Filters ................................................................................................................................................... 17
Archive/Purge ......................................................................................................................................... 18
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Configuration .............................................................................................................................................. 19
Email Client ............................................................................................................................................. 19
Email Settings ...................................................................................................................................... 19
Test Setup ........................................................................................................................................... 20
Database Connection .............................................................................................................................. 20
SQL Server and Database .................................................................................................................... 21
Test Connection Settings .................................................................................................................... 21
Pick Lists .................................................................................................................................................. 21
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Scheduled Audits
Overview The Scheduled Audits are SQL queries that are executed against the payroll database and the results
emailed to specified recipients on a customizable schedule. These audits are completely customizable to
allow for an infinite amount of possibilities. (Example: List companies with an incorrect tax setup.) Run
audits daily, weekly, monthly, quarterly, yearly or even all throughout the business day. Any of the
audits in the system can also be run manually (ad-hoc). The audits generate HTML tabular formatted
emails to desired recipients and are easy to read and appealing to the eye. Audits may be set to be
formatted as "alerts", using bold and noticeable colors.
Manage
General Information
Configure the general information for the Scheduled Audit.
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Enabled - Check the box to enable this audit. If an audit is disabled it will not be run
automatically regardless of the schedules that may be configured.
Name - Give the audit a descriptive name. The name can be changed at any time and should be
unique, although that is not required.
Description - Describe the audit and what it does. This description will be at the top of the email
that is generated. Include any special instructions to the person that will receive the audit email.
Category - Choose a category for the audit. This category is merely for organizational purposes
and can be changed at any time. The category name will appear in the subject line of the
generated email as well as in bold at the top of the email body. The list of categories can be
configured from the "Configuration" tab under "Pick Lists".
Email Information
Configure the email information for the Scheduled Audit.
Format As Alert - Check the box to format the email that is generated with a red background
and bold, yellow text. The subject of the email also contains the word "Alert". This is to make
the email stand out as an issue that should be handled immediately.
Email To - Enter the email address that will appear in the To field of the generated email.
Multiple email addresses may be configured by separating them by semi-colons (";").
Email CC - Enter the email address that will appear in the CC field of the generated email.
Multiple email addresses may be configured by separating them by semi-colons (";").
Email BCC - Enter the email address that will appear in the BCC field of the generated email.
Multiple email addresses may be configured by separating them by semi-colons (";").
Schedules
Configure the schedules for the Scheduled Audit. All audits must be configured with at least one
schedule, even if that schedule is "Ad-hoc" (on-demand only, will not run automatically). Multiple
schedules with different date parameters may be configured for a single audit. For example, if you want
a report on CSR activity daily for the previous business day, weekly for the previous week, monthly for
the previous month and so on. Note: The list of schedules is currently a set list that is configured at the
time of implementation of the Payroll Audit System.
Schedule - Select the schedule name from the list.
Start Date Parameter - Select the dynamic date parameter to be used in the audit. You can
include the parameter "@StartDate" in the audit SQL query and a built-in function will replace
the parameter at runtime with the value that you select here.
End Date Parameter - Select the dynamic date parameter to be used in the audit. You can
include the parameter "@EndDate" in the audit SQL query and a built-in function will replace
the parameter at runtime with the value that you select here.
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SQL Query Code
Configure the SQL query code for the Scheduled Audit. The code must follow standard SQL query syntax.
No data modification statements are allowed in the code (UPDATE, INSERT, DELETE, etc.). The columns
in the SELECT list determine the columns that appear in the generated email.
Validate - Click the button to validate that the SQL code entered uses proper syntax and will execute
with no errors.
Preview - Click the button to preview the SQL query results in a new window. A list of schedules will be
displayed, allowing you to select which schedule to be used in the preview. This can be helpful in
determining what data will be presented for each schedule. In the preview window, there are 3 tabs:
Query Results (shows the results in a grid format), Query Text (shows the actual query as it is sent to the
server) and HTML Results (shows a preview of the actual email that would be generated and sent).
Database - Select the database that the query will be run against. The list of databases can be
configured on the "Configuration" tab under "Pick Lists".
Import - Click the button the export the contents of the SQL Query Code window to a text file.
Export - Click the button to import query code to the SQL Query Window from a text file.
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Run
Run a single Scheduled Audit manually or run all configured with a certain schedule. This is handy if a
new audit has been configured and you want to run it immediately instead of waiting on the scheduler
or if an audit has resulted in an error at its scheduled time (i.e. email server is down, SQL server is down,
etc.) and you wish to re-run it.
Run All - Select the schedule from the drop down list and click the Run All button to execute all audits
that are configured with the selected schedule. This mimics the process that is executed automatically
by the scheduler.
Run - Click the Run button next to the single audit you wish to execute. Feedback will be provided at to
the success or failure.
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Pre-Process Audits
Overview The Pre-Process Audit portion of the system provides a customized “Payroll Submit” screen in the
payroll system which executes special SQL queries against the payroll. When users local to the service
bureau (CSR's, Citrix users, etc.) enter the submit screen, the system automatically audits the payroll
based on parameters that you define. (Example: W2 employees missing taxes, paycheck is over a certain
amount threshold.) Preprocess audits can be configured to be mandatory or approvable. For mandatory
audits, the item must be corrected before they are allowed to submit the payroll. For approvable audits
they are given an “Approve” button which logs the user and time that they have approved it.
Approvable audits can be assigned roles from the payroll system to allow only users in those roles to
approve those audits. For remote clients, you can run the audits on the payroll before it is processed by
using the customized Job Requests screen. If any audits fail, the payroll can be opened, corrected and
re-submitted. This process will greatly reduce your correction payroll runs and tax department issues at
quarter and year end.
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General Information Configure the general information for the Pre-Process Audit.
Enabled - Check the box to enable this audit. If an audit is disabled it will not be executed for any
company or any database.
Name - Give the audit a descriptive name. The name can be changed at any time and should be unique,
although that is not required. The name will be displayed on the Payroll Submit screen in the payroll
system in the table of failed audits.
Description - Describe the audit and what it is looking for. This description will be displayed to the user
on the Payroll Submit screen in the payroll system when they hover their mouse over the name of the
audit.
Approvals Configure the approval functionality for the Pre-Process Audit.
Approvable - Check the box to allow this audit to be approved. Approvable audits provide a user with an
"Approve" button on the Payroll Submit screen in the payroll system next to the audit in the list of failed
audits. When the user clicks the "Approve" button, the user name, time and date are logged into the
Payroll Audit System database and viewable in the logs. The user will also be presented with an
"Unapprove" button in case they accidentally clicked the "Approve" button. If an audit is not enabled for
approval, the user will not be allowed to close and submit the payroll until the item is corrected. They
will see "Mandatory Correction" next to the audit and the "Close Batch" and "Submit Payroll" buttons
will not be visible.
Approval Roles - Select the security roles from the payroll system that are allowed to approve this audit.
If the list is empty then anyone can approve. If the user is not in a security role that is allowed to
approve the audit then they will see "Authorization Required" instead of an "Approve" button on the
Payroll Submit screen in the payroll system. When the user hovers their mouse over the "Approval
Required" text, a list of authorized roles will appear so the user will know from whom to request
approval. The list of approval roles are configured on the "Configuration" tab under "Approval Roles".
Target Databases Configure the target databases for the Pre-Process Audit. If there are multiple databases being used by
the service bureau and/or clients, this allows for more granular control over which audits are executed
for which database. The list of target databases can be configured on the "Configuration" tab under
"Pick Lists"
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SQL Query Code Configure the SQL query code for the Pre-Process Audit. The code must follow standard SQL query
syntax. No data modification statements are allowed in the code (UPDATE, INSERT, DELETE, etc.). The
query code must be configured very specifically for the Pre-Process audits. The payroll system passes
variables to the code at runtime form the Payroll Submit screen, namely company code, calendar ID and
batch. In the query code the placeholders for those dynamic values are denoted by @Co, @CalendarId
and @Batch, respectively.
Validate - Click the button to validate that the SQL code entered uses proper syntax and will execute
with no errors.
Import - Click the button the export the contents of the SQL Query Code window to a text file.
Export - Click the button to import query code to the SQL Query Window from a text file.
Employee Audits
If employee details are needed for an audit (example: employees paid over a certain threshold,
employee missing taxes, etc.) then in the SELECT list the column names "EEID", "EEName" and "Reason"
should be used to return data. The user will then see a list of the specific employees that failed the audit
on the Payroll Submit screen in the payroll system. They can then click on the employee's name and be
taken directly into the employee's check to correct the issue.
Company/Payroll Audits
If no employee details are needed for an audit (example: checking for a specific company bank account
setup, validating payroll calendar settings, etc.) then the audit merely needs to return a value to show
up as a failed audit on the Payroll Submit screen in the payroll system.
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Payroll Submit Screen A customized Payroll Submit screen is presented to the user in the payroll system. Upon entering the
screen the payroll is pre-calculated and all Pre-Process audits that are enabled and configured to run for
that database will be executed. Any audits that return a result will be displayed to the user in a table to
the right of the normal buttons and text on the screen. The “Close Batch” and “Submit Payroll” buttons
will not be displayed until all audits have been handled.
The Audit Results table consists of the following:
Batch – The batch that the result was found in.
Description – The name of the audit is displayed. If the user hovers their mouse over the audit
name a more detailed description is displayed.
Details – If the audit is configured to show details then the list is displayed here within a sub-
table. If individual employees are displayed, the user can click on the employee’s name and be
taken directly into their check to correct the issue.
Action -
o Approve – If the audit is approvable and either there are no approval roles configures or
the user is in a role configured for approval on that audit, then an “Approve” button is
displayed. When the user clicks the button, the user’s name and the time and date are
logged into the Payroll Audit System database. The button is then replaced by the
approval details and an “Unapprove” button (in case they accidentally approved the
audit).
o Mandatory Correction – If the audit is not approvable then the user must correct the
issue before being allowed to close and submit the payroll.
o Authorization Required – If the audit is approvable but the user in not in a role
configured for approval on that audit, then the user must seek approval from another
user that is in the approval roles. If the user hovers their mouse over the “Authorization
Required” text, a list of approval roles are displayed so that the user knows who to go to
seek approval.
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Job Requests Screen A customized Job Requests screen is created in the payroll system. The custom screen no only displays
more data than the standard screen but also allows the mailroom/packout staff to determine if a payroll
has been audited. If the payroll has been audited and has passed all audits then the “Process” button is
enabled. If the payroll has not been audited then the “Process” button is disabled and the “Run Audits”
button is displayed. The user can then click the “Run Audits” button to audit the payroll. If the payroll
passes all audits then the “Process” button is enabled. Is the payroll does not pass all audits then the
user is notified of such and is given a button to take them directly to the Payroll Submit screen for that
company to view the details of the failures.
This screen can be used to audit payrolls that come in remotely from clients that do not have the Payroll
Audit System installed locally or are using the web-based version of the payroll system. In order for the
payrolls to be audited in this manner they must be configured to go to the job queue in the “request”
state rather than being automatically processed.
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Reporting
Select a report from the drop-down list and click the "Run" button. The report will be displayed in the
window and available to print or export. To refresh a report, click the "Run" button again.
Reports List Enabled Scheduled Audits - a list of enabled scheduled audits and their details.
Enabled Preprocess Audits - a list of enabled preprocess audits and their details.
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Logs
Scheduled Audits
View the logs of all Scheduled Audits that have been run in the system. The logs contain a copy of the
configuration of the audit at the time of its execution as well as the exact audit email output (if any),
email recipients, start and end times and the executing user. If the audit resulted in an error, the error
message is logged and the log row is highlighted in red. Audits that do not produce any results are still
logged so as to show that these items are being audits. Manually run audits are logged just like audits
executed by the scheduler.
Filters
Job End Date - Select the log date range from the list that you want to see displayed.
Show Errors Only - Check the box to show only audits that resulted in an error. Errors may result from
invalid SQL queries, mail server being inaccessible, database being inaccessible, etc.
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Show Data Sent Only - Check the box to show only audits that had results (generated an email).
Pre-Process Audits
View the logs of all Pre-Process Audits that have been approved by users. The logs contain the entry
time, company code, calendar ID, check date, batch, database, audit name, the approving user and
approval date. If the audit had employee details then the individual employees and the employee
specific reason for audit failure is also listed..
Filters
Entry Date - Select the log date range from the list that you want to see displayed.
Company - Type a company code into the box provided and the list will be dynamically filtered by
companies beginning with the characters that you type.
Approver - Type a user name into the box provided and the list will be dynamically filtered by audits
approved by approvers beginning with the characters that you type.
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Archive/Purge
Archive or purge logs from the system based on date. Logs can be archived/purged either all at once or
individually (Scheduled vs. Pre-Process). Archived logs are moved from the normal log tables in the
database to secondary archive tables which can later be moved to less expensive storage on the SQL
server. Note: Purged logs are DELETED from the database and cannot be recovered without restoring
the database from backup!
Log Selection - Select "Both" to run the operation on both Scheduled and Pre-Process logs at the same
time. Alternatively, choose either one or the other.
Older Than - Choose a date for which logs will be archived/purged.
Operation - Choose the operation to be performed, either "Archive" or "Purge".
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Configuration
Email Client
Configure the email client portion of the Payroll Audit System. The email client handles the sending of
the emailed generated by the Scheduled Audits.
Email Settings
Server Name/IP Address - Enter the name or IP address of your email server. There may be specialized
setup required on the email server to allow the database server to send email through it.
Server Port - The port that the SMTP service is running on the server, normally 25.
From Address - The email address that will appear in the From field of the emails generated.
User Name - If your email server requires authentication to send emails, enter the user name here.
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Password - If your email server requires authentication to send emails, enter the password here. Note:
The password is stored in clear text in the database.
Use SSL - If your email server requires SSL encryption to send emails, check this box.
Test Setup
Send Test Email To - Enter the email address of a valid recipient to which to send the test email.
Test - Click the button to send a test email to the specified recipient. The results of the test will be
displayed in the window.
Database Connection
Configure the database connection for the Payroll Audit System. Normally this will not need to be
changed unless the database has been moved or renamed.
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SQL Server and Database
SQL Server - Click the "Get Servers" button to scan yoru network for SQL servers. This may take up to 30
seconds. Then select the correct SQL server form the list. If your server does not appear in the list, type
the name directly into the box.
SQL Database - Once you have selected the SQL server, click the "Get Databases" button to get a list of
databases on that server. If you do not see the PayrollAudit database in the list you may not have
appropriate access to it.
Test Connection Settings
Test - Click the button to test the connection to the database. The test also verifies that the database
selected is a Payroll Audit System database. The results of the test will be displayed in the window. Close
the program and re-open it for the settings to take effect.
Pick Lists
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Configure the pick lists displayed in the Payroll Audit System. To edit an existing item, click on the text
and type in the new text. To delete an item, click on the desired row and press the Delete key on your
keyboard. If an item is in use you will not be allowed to delete it.
Databases - Enter a list of databases that exist on the same SQL server as the Payroll Audit System to
which you want the system to have access.
Categories - Enter a list of categories that will be selectable on the Scheduled Audits management
screen.
Approval Roles - Enter a list of security roles from the payroll system that will be selectable on the Pre-
Process management screen.