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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. Welcome and Introductions. Presenters: Anne Sullivan, Executive Vice President for Finance

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financials erp

Financials ERP

ARC Security and Workflow

November 9, 2011

slide2

Housekeeping

  • Please set cell phones and pagers to silent
  • Handouts
  • Note cards for questions
  • Sign-in sheets
slide3

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
slide4

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

slide5

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
slide6

2010

2011

2012

FY’11

FY’12

FY’13

Jul

-

Oct

Feb

Mar

Jul

Jul

Dec

Jan

May

Jun

-

Dec

Sept

Test &

Training

Prep

Analyze &

Design

Build

Deploy/

COA Design

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

6

slide7

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
slide10

Security and Workflow Comparison

WHAT data can you transact on?

WHERE do transactions start?

Restricted by Department

FFE & AP/CAR Modules

Certain Natural Accounts Excluded

Approval by Department

PeopleSoft Pages

ChartField Security

10

slide11

Security and Workflow Comparison (Cont’d)

HOW do you report?

WHO has to approve?

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

slide12

Security & Workflow: The Players

THE INITIATOR

THE INQUIRER

THE 3 STAGES

THE APPROVER

12

slide13

Security Balancing Act

Move things Forward

With Sufficient Controls

13

slide14

The Balancing Act in Action

Moving a Purchase Transaction Forward

Create a Voucher

Go to Voucher Page

Pay a Vendor

Applying Sufficient Controls

Systematically separate duties + set $$ thresholds

Set a review process

Set Approval Rules

We achieve this by assigning roles…..

14

slide15

Roles for the Initiator

Page-Level Role Examples:

ChartField Security Roles:

AP VOUCHERS

JOURNAL ENTRIES

Can initiate for any Dept

Can only select certain Natural Accounts

STAGE 1 – INITIATING A TRANSACTION

slide16

Roles for the Approver

Page-Level Role Examples:

Data Security Roles:

AP VOUCHERS

JOURNAL ENTRIES

Can only see his/her Depts

Can only approve certain Natural Accounts

Workflow Roles:

STAGE 2 – APPROVING A TRANSACTION

Workflow = Routing between Roles based on Rules

slide17

Roles for the Inquirer

Data Security Roles:

Reporting 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

slide18

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)

Dept inputs transaction

Departmental approval as required – generally all departments on the transaction

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 approvals are received, transaction is processed

If criteria are met, it may require Central approval (e.g., AP for certain vouchers)

18

slide19

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

slide20

Security & Workflow – Rules for PO

Dollar Limits

Transaction Approvals

  • 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.
slide21

Security & Workflow – Rules for AP

Transaction Approvals

Dollar Limits

  • 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.
slide22

Security & Workflow – Rules for Journal Entries

Transaction Approvals

  • 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.
slide23

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

23

slide24

Moving to ARC – Convert Page Level Roles & Workflow

1. Modules into Pages

ARC Pages

Old DAF/FFE/AP Modules

Internal Transfers

Inter-Departmental Invoices

Journal Entry 1 –

Fund Transfers

AP Journal Vouchers

Journal Entry 3 –

Expenditure Corrections

General Journal Entries

Journal Entry 5 –

General Journal Entries

2. DAF/FFE Approvals into Workflow

AP Entries

AP Vouchers

FFE / AP Final Approval

+

DAF (if needed)

+

Privileges (if needed)

Requisitions

Requisitions

PS Workflow Roles

Change Orders

Change Orders

slide25

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

slide26

Integrating Systems Security Set Up

Single Application Form

Separate Set Up

Reporting Systems

Integrating Systems

FFE

ARC

Certain Vendors

PSS

General Ledger

Budget Tool

ARC Inquiry

PAC

ARC Reporting

SIS

Staples

Budget Checking (Commitment Control)

Cash Module

Project Costing

ZT Time Entry

Financial Data Store

Advance

Detail Payroll Data (“PAD”)

Accounts Payable

Legacy DWR & DARTS

Others

Purchasing

E-Pro

P-Card

26

slide27

Living in ARC – Getting Set Up with Security

Single Finance Form

Training / Knowledge Check

E-mail process flow

FFE Security Module for FFE

User

CUIT Security Admin for ARC

School / Dept Security Admin

(a/k/a DAF/FFE)

Central Finance

(if special role)

Manager

27

slide28

Living in ARC – What Security Set Up Looks Like

Roles Tab in ARC

This is where Depts are assigned

Example of Approver Role

28

slide32

Project Resources

  • Review FIN ERP Project Website:

http://www.finance.columbia.edu/fin_erp

  • Send Questions to FIN ERP Project Email Address:

FINERP@columbia.edu

  • School / Admin Unit Liaisons (see following slide for detailed list)
slide33

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