ctcLink Reference CenterResourcesRemediation FinanceCompliance Reporting Solution Design Part 3

Compliance Reporting Solution Design Part 3

Purpose: Remediation WebEx Solution Design session for Compliance Reporting Part 3

Audience: All College Staff

Compliance Reporting Meeting Information

Solution Identification (Design)

Topic: Compliance Reporting Part 3

Meeting Date/Time:

Tuesday, March 28th  2:30pm to 4:00pm

Wednesday, March 29th  2:30pm to 4:00pm

Meeting Facilitator: Emmett Folk

Meeting Information: Compliance Reporting Part 3 WebEx Recordings

Tuesday, March 28th Part 3 - Day 1

Wednesday, March 29th Part 3 - Day 2

Meeting Objective

Remediation Solution Identification  The goal of this meeting is to gain a mutual understanding of the viable options for remediating the identified.  For example, if there is a reporting gap, we would discuss any delivered pages or reports that provide the required information or if a query would need to be developed.

Remediation Solution Decision Making  The goal of this meeting is to make a decision on the remediation solution that will be pursued to address the identified issues and their associated remediation tickets.  For example, if there are several solutions for a reporting gap, we would decide on one of those solutions to be the final resolution of the identified issue(s) and their associated remediation tickets.

Key Finance Modules Involved

  • General Ledger
  • Accounts Payable

Meeting Notes and Decisions

From College Critical Issues

IPEDs Reporting

  1. Decision Making Completed!
  2. Remediation Solutions forwarded for development

VPA Process

  1. Decision Making Completed!
  2. Remediation Solutions forwarded for development

AFRS Reporting

  1. Decision Making Completed!
  2. Remediation Solutions forwarded for development

Student Financial Aid Reporting

  1. Revised Cross-Pillar Session Date/Time
    1. Friday, April 14th, 11:00am to Noon
    2. Agenda being finalized, Outlook invites will be sent out soon
    3. May need multiple sessions, initial focus will be on the Scholarship Issue identified by Spokane

Payroll/Benefit Supplier Reporting

  1. Solution Identification work completed!
    1. Decision Making needed by FirstLink colleges will be facilitated over email in a separate follow up
    2. Decisions made will be communicated back to the larger attendee group once completed
  2. Report/Query Development
    1. Tracking Open Payroll Liabilities
      1. Solution Overview
        1. New GL Accounts for Payroll Deduction Liabilities to provide greater detail for Liability Tracking
        2. Proposed solution to be finalized by special college committee or work group due to the global nature of the configuration involved
      2. Solution Design Document for Review below:
  1. Payroll Vendor Payment Reconciliation
    1. Items to Reconcile:
      1. What has been deducted from an Employee’s paycheck
      2. What has been paid to Vendors for those deductions
      3. What has made it into the General Ledger in Finance
    2. Reconciliation Process Flow Diagram below:
  1. Reconciliation Queries to Develop:
    1. Need to provide colleges with information on how the queries work together
      1. Potential timing issues between when deductions are taken and when they are paid
      2. General troubleshooting steps
      3. Timing  differences between when State Board performed steps are done and when the results of those steps are reflected on the college side
    2. HCM  Deduction Data
      1. Include Vendor ID to provide a common field to trace through all three sets of data
      2. PAY_EARNINGS and PAY_DEDUCTIONS table data
      3. Sample Output from Test Environment
  1. HCM - Vendor Payment Extract Data
    1. AP_EXTRACT_HDR and AP_EXTRACT_LINE table data
    2. Sample Output from Test Environment
  1. FIN - AP Vendor Payment Data
    1. VCHR_ACCTG_LINE table
      1. Sample Output from Test Environment
  1. Additional Vendor Payment Reconciliation Data
    1. Provide visibility to College specific draws/refunds as it relates to State Treasurer transactions
      1. CR7020 shows summary data  want a college-specific, detail data version of this
      2. Additional information not on the CR7020
        1. Locally paid deductions  DSHS, Union Dues, Garnishments

1099 Reporting

  1. No gaps for Spokane or Tacoma

From Open Remediation Tickets

State Auditor’s Office (SAO) Reporting

  1. Solution Identification work completed!
    1. Decision Making needed by FirstLink colleges will be facilitated over email in a separate follow up
    2. Decisions made will be communicated back to the larger attendee group once completed
  2. Tacoma provided sample SAO reporting information
    1. Reports downloaded from FMS for 14/15 Fiscal Year for Finance
      1. Pro-Org Trial Balance
      2. Vendor List in Name Order
      3. Application Security Menu Listing by User-ID, Process-ID
    2. Files uploaded via secure SAO portal
  3. Have CEMLI being developed that State Board provided input for
    1. Emmett able to clarify with State Board who will be providing this information to SAO  
      1. Colleges will be providing SAO with the accounting data portion of the submittal (the Legacy Pro-Org Trial Balance equivalent) that will be handed by a CEMLI
      2. The State Board (or another central processing group) will be providing the Vendor List and Application Security portions of the submittal
  4. Verified that the Payroll/HCM components to SAO are being covered by a separate CEMLI in HCM
  5. Training/Documentation Development
    1. SAO Process Overview Document
      1. Include all steps related to Finance SAO reporting (including information on submittals made centrally / by State Board)
      2. Include all steps related to HCM SAO reporting (including information on submittals made centrally / by State Board)
      3. Include notes on process timing and run frequency
      4. Include links to process QRGs where applicable
    2. Finance SAO CEMLI functional/technical overview
      1. Identify CEMLI data source and extract parameters
      2. Identify CEMLI output type/options
    3. Finance SAO CEMLI QRG
      1. Include steps to execute CEMLI process
      2. Note any follow up steps needed to complete SAO reporting process
      3. Identify the process run frequency and any timing considerations

Office of Minority & Women’s Business Enterprises (OMWBE) Reporting

  1. Solution Identification work completed!
    1. Decision Making needed by FirstLink colleges will be facilitated over email in a separate follow up
    2. Decisions made will be communicated back to the larger attendee group once completed
  2. Tacoma provided sample OMWBE reporting information
    1. Diversity Participation Report Example
  1. Diversity Participation Report Data Criteria
  1. This reporting requirement is covered by the existing CEMLI
    1. Submits all qualifying Sub-Object transactions with Supplier data
    2. CEMLI transmits all PeopleSoft data, not Business Unit specific
    3. Follow up discussion with State Board indicated that this CEMLI would be run centrally (not at the colleges) and automatically scheduled if possible
  2. Query/Report Development
    1. College need to know what information was reported to OMWBE for a given reporting period
      1. Need to ensure that data received by college is the same data sent to OMWBE  could be different due to timing considerations / adjustments if run from a different source at a later date

Correctional Industries (CI) / Department of Corrections (DoC) Reporting

  1. Solution Identification work completed!
    1. Decision Making needed by FirstLink colleges will be facilitated over email in a separate follow up
    2. Decisions made will be communicated back to the larger attendee group once completed
  2. Existing CEMLI
    1. CEMLI document addresses the specific requirement mentioned here  includes PCard data
    2. Reports by Business Unit, by calendar date range
    3. Produces CSV files of Summary and Detail information
      1. Sample output (see different tabs for Summary and Detail information)
  1. Feedback from Tacoma
    1. Correctional Industries information has not been reported directly by TCC; information has been pulled by SBCTC when required and submitted to Correctional Industries
  2. Feedback from State Board
    1. Not a regular submittal
    2. Requests come from OFM or the Legislature regarding the 2% spend target

Use Tax Reporting

  1. Additional Solution Identification work required for Spokane
    1. No gap with this item for Tacoma
    2. Emmett to schedule follow up WebEx with Spokane to discuss issues encountered with the queries currently being used
  2. Currently available queries
    1. From CEMLI
      1. CTC_SUT_DETAIL_REPORT
        1. Does not return data
        2. Looks at Voucher Accounting Line for Sales/Use Tax transactions
        3. By Business Unit, by Accounting Date range
    2. Developed Post Go-Live
      1. Tacoma Specific Queries
        1. CTC_PCARD_TAX_NOT_PAID_DIST
        2. CTC_PCARD_TAX_NOT_PAID_TRANS
        3. No gap for Tacoma
      2. Spokane Specific Queries
        1. CTC_PCARD_USE_TAX_DIST
        2. CTC_PCARD_USE_TAX_TRANS
        3. Queries will likely need to re-tool query
        4. Hold separate session with Spokane to review issue  will follow up with larger remediation group if issue is systemic system issue
  3. Feedback from Tacoma
    1. Currently using the CTC_PCARD_TAX_NOT_PAID_TRANS query to get use tax amount
    2. Create journal entry for payable
    3. Report amount and pay the payable before the end of each month

SBCTC Consolidated Reporting

  1. No gaps for Spokane, Tacoma, or the State Board

NACUBO Reporting

  1. No gaps for Spokane, Tacoma, or the State Board

Other Discussion Items

  1. DES Contract Reporting
    1. Emmett to follow up on if/how this is being addressed in Remediation
  2. Suggested focus for “GL Integration & Reconciliation”
    1. Documentation on process flow to supplement queries identified as part of “Compliance Reporting” and “Accounting Processes” sessions
  3. For global or accounting policy/procedure items outside of Remediation
    1. What communication channel should the colleges use to identify items or issues related to global configuration and/or accounting policy/procedure?
    2. Emmett has escalated the question and is waiting for a response
  4. For upcoming Common Process Development Group session on Grants
    1. Can colleges participate via WebEx?  Spokane staff is unable to travel but could attend remotely.

Meeting Action Items and Follow Up

Topic Assigned To Action / Follow Up Item Description
Payroll/Benefit Supplier Reporting Emmett Folk (ctcLink) Emmett to prepare follow up Decision Making email for remaining topics and send to FirstLink Core SME and PM group contacts
State Auditor’s Office (SAO) Reporting Emmett Folk (ctcLink) Emmett to prepare follow up Decision Making email for remaining topics and send to FirstLink Core SME and PM group contacts
OMWBE Reporting Emmett Folk (ctcLink) Emmett to prepare follow up Decision Making email for remaining topics and send to FirstLink Core SME and PM group contacts
CI / DoC Reporting Emmett Folk (ctcLink) Emmett to prepare follow up Decision Making email for remaining topics and send to FirstLink Core SME and PM group contacts
Use Tax Reporting Emmett Folk (ctcLink) Emmett to schedule separate WebEx with Spokane to complete Solution Design work for issue with Use Tax Reporting queries

Parking Lot Items

  • N/A

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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