ctcLink Reference CenterRemediation FinanceCompliance Reporting Listen & Learn

Compliance Reporting Listen & Learn

Purpose: Remediation WebEx Listen & Learn session for Compliance Reporting

Audience: All College Staff

Compliance Reporting Meeting Information

Gap Analysis (Listen & Learn)

Topic: Compliance Reporting

Meeting Date/Time: March 7, 2017 2:30 - 4:00pm, March 8, 2017 2:30 - 4:00pm

Meeting Facilitator: Emmett Folk

Meeting Information: Compliance Reporting WebEx Recordings

Tuesday, March 7, 2017 - Day 1

Wednesday, March 8, 2017 - Day 2

Meeting Objective

Gap Analysis / Requirements Gathering  The goal of this meeting is to gain a mutual understanding of the identified remediation gap and to document any requirements necessary for the remediation of that gap.  For example, if there is a reporting gap, we would identify what information is needed (specific data elements to include) to bridge that gap and how that information needs to be retrieved (reporting frequency, parameters).

Key Finance Modules Involved

  • General Ledger
  • Accounts Payable

Meeting Notes and Decisions

  1. From College Critical Issues
    1. IPEDS Reporting Gaps
      1. CEMLI Testing Involvement
        1. Need to have a plan for ongoing testing due to changes in annual format updates
        2. Need to incorporate running data against “Edit Checks”, checks performed by the Federal Government system when data is submitted
      2. Training/Documentation Development
        1. Documentation on running the report for submitting IPEDs data
          1. College users will be running this process
          2. Need QRG/Video training material
        2. Explanation of reporting mechanism  both functional and technical
          1. What data gets picked up
          2. How report output is created
    2. VPA Process Gaps
      1. Training/Documentation Development
        1. Documentation that covers the end-to-end process
          1. Include all process steps, even if not performed by colleges
          2. Need to identify the individual process steps, who is responsible for each step, and any timing requirements
        2. Documentation on how to execute colleges steps in the VPA process
          1. QRG/Video training content for each process
      2. Report/Query Development
        1. Query for expenditures that helps identify how accounting entries need to be coded  “getting the right amounts from the right funds”
          1. Legacy Example: GA3231  Vendor Payment Advance Reimbursement Report
    3. AFRS Reporting
      1. Training/Documentation Development
        1. AFRS consolidation logic
          1. Something that helps someone compare the AFRS TB to PS TB
        2. Copy of final reported numbers for a BU
      2. Report/Query Development
        1. Reconciliation report  want to be able to compare PS GL data to reported AFRS data
          1. PeopleSoft Trail Balance  by PS Fund
          2. AFRS Trial Balance  by AFRS Fund
    4. Student Financial Aid Reporting
      1. Report/Query Development
        1. Reconciliation for Financial Aid and Scholarships
          1. 3-Parts: What has been disbursed, what has been applied, and what has made it to the GL
          2. Need by type, e.g. Pell, Direct Loan, individual scholarships
        2. Reconciliation for Work Study
          1. 3-Parts: What was awarded, what appears in Payroll, what had made it to the GL
          2. Legacy reports: BA1211 (FMS), PS1515 (payroll), SM9420 (fin aid)
      2. Additional Discussion:
        1. Spokane issue with Scholarship reconciliation could be business process related
          1. Spokane records receipts for Scholarships as Departmental Receipts; Tacoma records these on the student’s account
          2. Jane Sackville-West (CCS) to compare business process with Nor Boice (TCC)
        2. Tacoma noted that the Federal Student Aid Common Origination and Disbursement (COD) system was a very valuable resource for reconciliation and that ready only access could be obtained
          1. Federal Student Aid Website
        3. Possible 3rd party resource
          1. COD  can get view only access
    5. Payroll/Benefit Supplier Reporting
      1. Report/Query Development
        1. Tracking payroll liabilities (focus on looking for open liabilities)
          1. Broken down by separate PeopleSoft Accounts  Accounts would be based on Payroll Vendor (e.g. VEBA, DRS, HCA)
        2. Vendor Payment Reconciliation
          1. What has been deducted from an employees paycheck
          2. What vendors have been paid and how that reconciles back to college GL
        3. College specific draws/refunds as it relates to State Tres transactions
          1. Inclusive of college vendor payments
    6. 1099 Reporting
      1. Spokane has no gaps with 1099 Reporting
      2. Tacoma has no gaps with 1099 Reporting
  2. From Open Remediation Tickets
    1. State Auditor’s Office (SAO) Reporting
      1. Report/Query Development
        1. College portion of reporting
          1. Standard request each time
          2. Example data  Trial Balance / Payroll information / AP report
          3. Use a “secure upload” utility to provide information to SAO
        2. State Board portion of data
          1. Supplemental payroll information / enrollment information
        3. Tacoma/Spokane to send Emmett SAO information if available
        4. Emmett to follow up with State Board on their portion
    2. Office of Minority Women-Owned Business Enterprises (OMWBE) Reporting
      1. Report/Query Development
        1. Tacoma/Spokane to send Emmett OMWBE information if available
    3. Correctional Industries (CI) / Department of Corrections (DoC) Reporting
      1. Report/Query Development
        1. Tacoma/Spokane to send Emmett CI/DoC information if available
    4. Use Tax Reporting to Department of Revenue
      1. Report/Query Development
        1. Tacoma/Spokane to send Emmett use tax information if available
    5. SBCTC Consolidated Reporting
      1. Emmett to ask State Board about these remediation tickets to determine if gap exists
    6. NACUBO (National Association of College and University Business Officers) Reporting
      1. Report/Query Development
        1. Spokane identified need for a report that provides expenditures and revenue by Department and “Functional Type”
          1. Functional Type would be information provided by Account, Fund, Class, and Department
          2. This would be a report that would go to department heads and/or Deans
        2. Not related to compliance reporting, will address in a later session on reporting
      2. Emmett to ask State Board about these remediation tickets to determine if gap exists

Meeting Action Items and Follow Up

Topic Assigned To Action / Follow Up Item Description
Student Financial Aid Reporting Jane Sackville-West (CCS)
Nor Boice (TCC)
Jane Sackville-West (CCS) to compare business process with Nor Boice (TCC) to see if an adjustment to the process could make reconciliation easier.
Payroll/Benefit Supplier Reporting Emmett Folk (ctcLink) Follow up on equivalent legacy reports for payroll reconciliation.
SAO Reporting Tacoma
Spokane
Tacoma/Spokane to send Emmett examples of information reported to SAO to illustrate reporting requirements.
SAO Reporting Emmett Folk (ctcLink) Emmett to follow up with State Board on their portion of SAO reporting requirements.
OMWBE Reporting Tacoma
Spokane
Tacoma/Spokane to send Emmett examples of information reported to OMWBE to illustrate reporting requirements.
CI/DoC Reporting Tacoma
Spokane
Tacoma/Spokane to send Emmett examples of information reported to CI/DoC to illustrate reporting requirements.
Use Tax Reporting Tacoma
Spokane
Tacoma/Spokane to send Emmett examples of information used for Use Tax reporting to illustrate reporting requirements.

Parking Lot Items

  1. Discussion item related to Due-To/Due-From process deferred until “Account Processes” meeting topic
  2. Report/Query Development
    1. Spokane identified need for a report that provides expenditures and revenue by Department and “Functional Type”
      1. Functional Type would be information provided by Account, Fund, Class, and Department
      2. This would be a report that would go to department heads and/or Deans
    2. Not related to compliance reporting, will address in a later session on reporting

Related Concerns or Issues not in Critical Issues Lists or Remediation Tickets

  • n/a

Topics and Associated Remediation Tickets

Compliance Reporting

Ticket # Requirement ID Requirement Description Assoc. Topic
19342 GL4 – General “Support vendor payment advance process based on user-defined criteria (e.g., each college is authorized to draw an advance against the State Treasurer, with the amount equal to 17% of preceding biennium's monthly allocation).” VPA Process
19315 GL59 – Inquiry & Reporting “Support for IPEDs reporting in compliance with IPEDS requirements.” IPEDs Reporting
19327 GL72 – Inquiry & Reporting “Support for State of Washington auditing and reporting requirements, including but not limited to Office of Financial Management (OFM) Reporting, based on user-defined criteria (e.g., by appropriation).” SAO Reporting
19353 GL73 – Inquiry & Reporting “Support for Comprehensive Annual Financial Report (CAFR), including interfacing of required data to State of Washington's Annual Financial Reporting System (AFRS).” AFRS Reporting
19386 AP55 – Processing Withholdings “Enter and maintain withholding criteria for vendors, vendor groups, contracts, and other relevant entities.” 1099 Reporting
19452 AP56 – Processing Withholdings “Process withholding (e.g., taxes, retainage) based on withholding criteria including, but not limited to percentages, standard withholding methodologies, and contractual withholding terms.” 1099 Reporting
19370 AP57 – Processing Withholdings “Enable standard forms of withholding processing based on user-configurable criteria.” 1099 Reporting
19447 AP58 – Processing Withholdings “Calculate withholdings.” 1099 Reporting
19405 AP59 – Processing Withholdings “Perform simulated withholding calculations.” 1099 Reporting
19425 AP60 – Processing Withholdings “Post withholding transactions.” 1099 Reporting
19453 AP61 – Processing Withholdings “Generate withholding reports.” 1099 Reporting
19421 AP89 – Inquiry & Reporting “Generate and electronically transmit 1099 file, based on IRS requirements.” 1099 Reporting
19432 AP79 – Inquiry & Reporting “Generate all standard compliance documents, financial forms, and financial reporting requirements for vendors and payees.” Multiple
19419 AP87 – Inquiry & Reporting “Generate sales and use tax reports by user-defined parameters (e.g., by college, by department, by fund) and business rules (e.g., include auto-accrued use tax on out of state purchases), in compliance with State of Washington Department of Revenue requirements.” Use Tax Reporting
19552 PO104 – Inquiry & Reporting “Generate required Office of Minority and Women's Business Enterprises (OMWBE) reporting in compliance with OMWBE Guidelines for CTC & Institution Reporting (e.g., vendor certified by OMWBE).” OMWBE Reporting
19518 PO105 – Inquiry & Reporting “Generate required State reporting on purchases from Department of Corrections (DOC)/ Correctional Industries in compliance with RCW 43.19.534 and WAC 236-49-055 (e.g., How much was actually purchased? What could have been purchased?).” CI/DoC Reporting
19350 GL7 – Accounting Structure “Support an institution-wide consolidation set of books and unique sets of books across colleges and specified affiliates.” SBCTC Consolidated Reporting
19293 GL25 – Consolidation “Support consolidation mapping and mapping processes.” SBCTC Consolidated Reporting
19308 GL27 – Consolidation “Incorporate mapping to consolidation as a component of all account addition and modification processes.” SBCTC Consolidated Reporting
19325 GL28 – Consolidation “Initiate consolidation manually or automatically based on user-configurable business rules and frequencies.” SBCTC Consolidated Reporting
19354 GL26 – Consolidation “Enhanced management capability for consolidation mapping to ensure data integrity. For example, if an account value is added or modified and there is a potential mapping inconsistency, generate notifications to the relevant user.” SBCTC Consolidated Reporting
19355 GL70 – Inquiry & Reporting “Support for Financial Accounting and Reporting Manual for Higher Education guidelines published by National Association of College and University Business Officers (NACUBO).” NACUBO Reporting

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