AUCA ERP Project - Charter 1 AUCA ERP Project Project Charter Project Phase Covered: Phase 1 – August 10, 2012 – February 10, 2014 Phase 2 – February15, 2014 – June 15, 2015 Executive Sponsor: Andrew Wachtel, President of AUCA Program Manager: Sven Stafford, Director of the University Development Project Manager: Sania Battalova Date submitted: January, 2012 Date approved by executive sponsor: «_____» _________________ 2012 Date approved by Steering Committee: «_____» _________________ 2012
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AUCA ERP Project - Charter 1
AUCA ERP Project
Project Charter
Project Phase Covered: Phase 1 – August 10, 2012 – February 10, 2014
Phase 2 – February15, 2014 – June 15, 2015
Executive Sponsor: Andrew Wachtel, President of AUCA
Program Manager: Sven Stafford, Director of the University Development
Project Manager: Sania Battalova
Date submitted: January, 2012
Date approved by executive sponsor:
«_____» _________________ 2012
Date approved by Steering Committee:
«_____» _________________ 2012
AUCA ERP Project - Charter 2
A. General Information Provide basic information about the project including: Project Title – The proper name used to identify this project; Project Working Title – The working name or acronym that will be used for the project; Proponent Secretariat – The Secretariat to whom the proponent agency is assigned or the Secretariat that is sponsoring an enterprise project; Proponent Agency – The agency that will be responsible for the management of the project; Prepared by – The person(s) preparing this document.
Project Title:
Automation of the University
Management and Academic
processes
Project Working
Title:
AUCA_ERP
Proponent
Secretariat:
Education
Proponent Agency:
American
University of
Central Asia
Prepared by:
Sania Battalova
Date Prepared:
January 2012
Points of Contact
List the principal individuals who may be contacted for information regarding the project.
B. Executive Summary An Executive Summary is required when Sections C thru G of the charter are excessively long. In two or three paragraphs, provide a brief overview of this project and the contents of this document.
The American University of Central Asia is the development of innovative and comprehensive
technology base for information integration and business processes of the University finance,
human resources, and academic activity management.
The University’s current Financial System (FS), based on two different software (1C:Enterprise
(v.7.7) and a special software for salary counting (ARIADNA), does not provide adequate
integration between the system parts (internal and external) and requires well developed and
robust reporting capabilities necessary to produce useful analytics in today’s higher education
environment.
The Financial System requires integration and upgrade, due to technology obsolescence of the
system architecture and functionality. The need to replace the FS with a progressive, supported
technical infrastructure and application initiated a review of the enterprise resource planning
software for academic needs provided by different vendors.
At the current time the University has a very primitive level of the HR office automation. HR
office software is based on MS Excel and doesn’t provide any connection with the University
data, collected and managed by FS and the academic data managed by Registrar office.
Because of no interest form SunGuard’s Banner to work in our region and because or special
AUCA ERP Project - Charter 4
system requirements for finance reporting, tax and HR management (according to Kyrgyz
Republic legislation) new software with opportunity to adopt all the needs and requirements
were reviewed. New system should include all updated FS modules as well as new HR system
automation modules. The new system has to be integrated with Student Information System
data and AUCA self-developed software for Academic Affairs.
A comprehensive requirements gathering session for administrative support software was
conducted by the AUCA. These documented requirements were used as the basis of an
evaluation of the MS Dynamics and 1C Enterprise products, along with other evaluation
factors. The 1C Enterprise was selected as the product line which could best meet the needs of
AUCA.
To make the system useful for the University at whole special comprehensive software will be
developed. The software united data and management tools of Registrar, Admissions, Financial
and HR offices, provide an opportunity to the University administration, Departments, offices,
and programs have an access to the data and reporting system. The software will provide an
opportunity to the University students and faculty have an access to personal and academic
information.
The Automation of the University Management and Academic processes project will consist of
the implementation of financial management software in two phases beginning in August 2012,
and ending in June 2015.
This document describes the implementation of the Financial and HR modules, as well as
development and implementation the software related to automation of the academic and
administrative management processes.
This document includes the project mission, objectives, scope, assumptions and constraints,
risks, milestones, methodology, and project team organization. This document will evolve over
the life of the implementation to include more information about subsequent phases.
C. Project Purpose Explain the business reason(s) for doing this project. The Project Purpose (the Business Problem and Project Business Objectives) is in the Project Proposal, Section B.
1. Business Problem The Business Problem is a question, issue, or situation, pertaining to the business, which needs to be answered or
resolved. State in specific terms the problem or issue this project will resolve. Often, the Business Problem is reflected as a critical business issue or initiative in the Agency’s Strategic Plan or IT Strategic Plan.
The current time AUCA have several databases and software developed and managed for the
different purposes: Registrar office, Admissions office and Financial Aid office (AUCA self-
developed soft and data called Academic Affairs Software - AAF), as well as Finance office – FO
- (1C Enterprise, commercial soft). Some important University offices are not automated and the
data they produced and collected are not available for the administrative and management
purposes. AAF and FO data are de-centralized and have a very limited level of integration.
Financial management system utilized by the AUCA consists two parts and two data operated
separately: finance management and payroll and salary limits the expansion of functionality
AUCA ERP Project - Charter 5
necessary to remain competitive in the higher education market and to meet AUCA educational
and public service missions.
To address these problems, AUCA plans to implement commercial software for financial
management. The proposed system will provide self-service access and business process
support to students, faculty, and staff and improve workflow for major financial functions
performed AUCA. Enhanced interoperability with other AUCA internal and external
application systems will provide additional benefits from information sharing, elimination of
redundant data entry, and business process improvement.
The capabilities of the newly developed and announced version of 1C Enterprise will support
reengineering efforts and business process improvements. The reduction in manual
reconciliations and processing will result in a significant cost savings and providing more
flexible and multipurpose reporting system, as well as widely access to personal information for
the AUCA staff and students.
New version of 1C Enterprise software consist HR module which will help to automatize the
office business processes and create a data, which will be connected and utilized as a part of the
University data system.
Academic Affairs software and data will be transformed into the Student Information System
(SIS) which will have program links and can interoperate with the Finance and HR systems.
Students, faculty and staff can access personal and academic information through the
developed portal systems (Faculty portal, students portal, administrative portal, technical
support portal).
The following critical business processes were researched and benchmarked during the
requirements definition and are listed below.
Finance System
1. Chart of accounts according to international accounting standards (IAS)
Charts composition, account “from document”, development analytical, currency and
quantitative accounting according to legislation of Kyrgyz republic and accounting policy of
AUCA
2. Accounting of property and inventories, equipment and machinery, low value stocks,
stock accounting according to average cost method and accrual accounting
3. Trading account
4. Banking and cash transactions, accounting of the exchange rate changes.
Accounting for cash flow and non-cash, foreign currency transactions with the
support of input and print payment orders, incoming and outgoing cash orders.
5. Accounting for payments to contractors and accountable persons (suppliers, customers, and
contractors accountable persons)
6. Accounting of fixed assets, intangible assets, grants, purchased for the University funds as
well as the other funds (grants, gifts)
7. Accounting of VAT and cascading taxes
AUCA ERP Project - Charter 6
8. Accounting students transactions and payments, and analysis of financial aid
Allowance payments for students’ tuition, as well as for other services rendered by AUCA
student financial aid, contracts’ maintenance.
9. Budget
Managing the university budget, reporting, assessment, planning
Human Resources/Salary
1) Accounting personnel and staffing
Personal data of employees, service information. Analysis of staffing
2) Labor relations and HR outsourcing
Staffing with an indication of tariff rates, surcharges, additional information about the staff
units.
3) Automation of recruitment
Support for documenting and automating the process of selection and evaluation of candidates.
4) Accounting for payroll, personnel records
Accounting for the personnel movement and promotion (in main job and part-time).
Payroll for the employee’s salary, as well as for the employment agreement or subject to grant
funds, etc. Calculation of the legislation regulated taxes and fees.
Management of the academic processes and Student Information System (SIS)
1. Admissions and recruiting
Enrollment statements and applications, applicants information, applicants education history,
entrance exams and scores, analysis and forming entrance rating of applicants, events schedule
(entrance exams, consultations, etc.), upload and storage of documents.
2. Registrar office (Academic Affairs0
Forming the students personal files, curriculum management, courses singing up, students’
timetable conflicts determination, waiting lists forming and management, feedback.
2.4. Advising
Forming and managing lists of advisers; meetings and consultations planning, events calendars,
analysis and identification of students who require special attention (audit level, below
curriculum), the identification of students for whom expulsion is possible.
AUCA ERP Project - Charter 7
3. Financial Aid
Application acceptance, appointment / change / review of financial support, criteria for
financial aid selection, financial support tracking, history of the provided financial support,
internal and external funds, grants, forms and applications, integration with the Registrar office
database.
4. Distance learning (e-learning) and the Library
Upgrade the e-learning systems, integration with SIS, Finance and HR systems. Integration the
Library system with the University Access control system
5. Continue Education Center
Management of the Center participants, class schedule, study groups formation and
management, grading, time table, courses registration. Contracts record, discounts, reports,
forms.
6. Alumni
Management alumni database, tracking of the place of employment, events calendar, success
story and career development, donations’ record, forms and reports.
7. Student Information System
Web-portal with set of services available for students (academic and non-academic activity).
Integration and access to personal financial and financial aid information. On-line services,
forms, reports, documents.
8. Management of faculty information and services
Faculty load distribution, FTE, evaluation. Web-portal with set of services available for faculty
(academic and non-academic activity), integration and access to personal financial information,
employment, insurance contributions, benefits and assignments. On-line services, forms,
reports, and documents.
In addition to these, the other business processes will be re-engineered to improve
administrative efficiency and effectiveness.
* Spreadsheet of results available on request. Details of the saving summarized in Decision
Director spread sheets. 2. Project Goals and Objectives List the specific goals and objectives of the project.
The following list represents the team’s goals and objectives in implementing AUCA ERP
System:
Facilitate communication
Establish and improve analytics
Increase the efficiency of business operations
Promote data-driven decision-making
Targeted automation/integration
AUCA ERP Project - Charter 8
Improve Change Management capabilities of the organization
Facilitate access to business data and reporting
Enhance access to the business systems
3. Critical Success Factors List the factors that are critical to the success of this project.
The AUCA ERP project is designed to address the critical success factors listed below.
• Well-Defined Business Objectives
• Engaged, Visible Leadership at Sponsor and Executive Level
• Excellent Communication to all Stakeholders
• Proven Project Methodology
• Strong Change Management approach to deal with “institutional inertia”
• Adequate Training
• Department Ownership of Business Processes
• Complete and Detailed Project Planning documents
Implementation method is proven and continuous
Project expectations are realistic and sustained
• Well-defined requirements
• A periodic quality review process
The following sections of this document will define how these factors will be approached
logistically, tactically and strategically.
D. Assumptions Assumptions are statements taken for granted or accepted as true without proof. Assumptions are made in the absence of fact. List and describe the assumptions made in the decision to charter this project.
This project assumes that:
• AUCA is willing to implement the best practices built into the software
• Legacy enhancements or changes to existing systems will be frozen
• The scope will be managed through a formal change control process
• Project accomplishments will be acknowledged by all levels of the AUCA
• Executive support will continue throughout the life of the project
• There will be sufficient availability of skilled AUCA resources
• The project sponsors and project management will commit to making timely
decisions
• Project participants are knowledgeable of their roles and responsibilities
• The project team is empowered to make business process decisions
Key Assumptions Phase 1
Start date August 10, 2012
Phase 2
Start date February 15,
AUCA ERP Project - Charter 9
Go Live August 15, 2013
18 month phase duration
ending February 15, 2014
60 days post-
implementation support
AUCA will provide (4)
developers to the project
beginning September 20,
2012 through phase end
date
AUCA will be responsible
for providing training
delivery resources
AUCA will provide
functional resources to
assist with the design and
testing of the system as
needed
AUCA will provide files
for conversions as needed
Scope and preliminary
design for Phase III
purchasing use is defined
in this phase
2014
Go Live March 15, 2015
15 month phase duration
ending June 15, 2015
60 days post-
implementation support
AUCA will provide (4)
developers to the project
for the duration (on a
contract base)
AUCA will be responsible
for providing training
delivery resources
AUCA will provide
functional resources to
assist with the design and
testing of the system as
needed
E. Project Description, Scope and Management Milestones
1. Project Description Describe the project approach, specific solution, customer(s), and benefits. The Project Description is located in the Project Proposal, Section C.
American University of Central Asia is contracting implementation services to replace current
financial and asset management systems and implement HR system with 1C Enterprise (Version
8.9). In addition to the replacement of legacy software, the implementation of Students
Information System for management and asset academic processes will include re-engineering
of business processes (both automated and manual) and development and implementation of
interfaces to AUCA customers (administration, offices, departments) with the objective of
improving service delivery to our customers—the AUCA students, faculty and staff.
The Statement of Work (SOW) defines the scope of the Implementation Services to be
performed, and the Deliverables to be produced by Vendor and AUCA programming staff in
Phases I and II of the AUCA ERP Project. Implementation Services include software
implementation of specified 1C Enterprise modules and sub modules, redesign and developing
documentation of selected AUCA business processes.
AUCA ERP Project - Charter 10
The scope of work incorporates by reference the findings of the six-week assessment jointly
conducted by AUCA and Vendor during the Requirements Phase of the Project.
The scope of work and requirements set forth in this SOW are based on the information
developed by the AUCA team during the Requirements Phase, as further qualified and
supplemented by Vendor's and software developers higher education experience and
knowledge. Vendor will direct the implementation of the 1C Enterprise Finance and HR
modules and shall provide the Services and the Deliverables described in this SOW in
accordance with the detailed Project Management Standard pertaining to Project documentation
for a high complexity project.
Software development staff performs all planned tasks in all the areas described in this
document and the other project documents.
2. Project Scope
AUCA ERP Project - Charter 11
Preliminary Scope and Consultant Staffing by Phase
Phase Phase I Phase II
Go Live Date August 15, 2013 March 15, 2015
Modules Сhart of accounts
Multi-currency account
Finance Transactions
Inventories, low-value stocks.
Inventory.
Accounting for retail / bank /
cash transactions
Fixed assets and intangible assets
Tax accounting
Grants
Students’ payments and
transactions
Budget
Monthly transactions
Payment and Payroll
Human Resources Tracking
System
Human Resources Data Module
Database management of
Academic Affairs and Student
Information System (SIS)
Registrar office: students data,
courses, registration
Student Information System
Asset Management
Admissions, Enrollment and
Financial aid
Advising
Travel & Expenses
Management and integration the
Alumni data system
E-learning and the Library
systems integration and
management
Continue education system
integration and management
Faculty portal
All Systems integration
Additional
Features &
Functions
Local checks and forms
production
Reporting
History conversions (balances
forward plus one year of details
where possible)
Budget Load
Computer Access/Retrieval
System, Security System
Customer Identification interface
(CIIPS)
HR Interface
HR and Finance system
integration
Workflow approvals
Reporting
History conversions
Portal integration extended
Students and Faculty portal
Portals interface
Preliminary Scope and Supported Business Processes by Phase
Finance System
AUCA ERP Project - Charter 12
Business Processes Supported – Phase I
Chart of Accounts
Initial design
Identification and implementation of accounts
Maintenance processes, eestablishment of the attributes of accounts, appointment of an
analyst
Multi-currency accounting
• A list of currencies and funds in the accounts in any currency defined in the list box, cash
currency, automatic calculation of exchange rate changes, currency conversion
• Management and accounting of monetary and nonmonetary accounts
• Support of multi-currency accounts
Financial transactions
• Definition of journal entries (the original, correct, reverse, distribution, forms)
• Develop the necessary forms of documents
• Implementation of the accounting form document
Inventories, low-value stocks. Inventory. Accounting for retail / bank / cash transactions • Implementation of the inventories account, low-value stocks weighted average cost
methodd • Consideration of the low-value stocks behind balancing. • The development of accrual accounting in stock • Develop the inventory mechanism • Accounting for transactions of the inventories and law-value stocks movements of
commodities • View transaction history for any period of time (since the entry residues)
Accounting for retail / bank / cash transactions • Accounting for receipts and disposals (sale) of goods and services • Consideration of cash and bank deposits • Multi-currency accounting • Operations on settlements with suppliers, customers, accountable persons • Writing and printing of documents (payment orders, credit and debit orders, etc.) • Banking and Cash Books • Calculation, settlement, specification and analysis
Fixed assets and intangible assets
• Accounting of fixed assets and intangible assets • Collection and disposal of fixed assets • Depreciation • Inventory • Transfers of fixed assets • Consider the location and material liability persons
Tax accounting
• VAT and tax cascading accounting
AUCA ERP Project - Charter 13
• Calculation of tax revenues • Tax accounting of fixed assets • Establishing registries and regulatory reporting system • Tax Records • Support for upload forms in electronic format
Grants
• Income and expenditure, accounting, analysis of the grant funds and their relationship
with the budget
• Accounting of grant of fixed assets, work with the grants and the reflection of the
operations under the charge of grants.
• Monitoring the use of grants
• Redistribution of grants
Students’ payments and transactions • Students’ ffinancial transactions and accountability of students • Consideration of students in the areas of education (departments, programs, and courses) • Student’s contracts maintenance • Transfers of students (from the Department, etc.) • Tuition payment • Accounting for the provision of financial aid AUCA or grantor • Additional charges for fee-paying courses • Analysis of student fees and financial aid • The gradual recognition of revenue from students tuition payment • Automatic registration of expelled students, students in the academic leave • Automatic additional charge / reversal of income • Analysis of the correctness of the charges (including the adjustment of the contract
students) • Return of sums paid
Budget
Budget drafting
Flexibility and customization
Budget load: revenue and expenses
Budget execution and management Consideration of cash and bank transactions to work with the budget Budget adjustments through journal entries Automatic control of the budget Regulated (required) Records
Monthly transactions
• Routine operation performed at the end of the month
• Automatic collection of small amounts in the accounts
• Issuing debt for education
• Depreciation
• Revaluation of Currency
• Other
AUCA ERP Project - Charter 14
Reporting
Replacement of necessary existing financial reports in production
Query – strategy for
Development a set of standard reports which help you analyze the data on the balance,
the turnover of accounts and entries in various sections Mandatory (regulated) reports intended for submission to the staff and administration of
the University, government regulatory bodies, including the form of financial statements,
tax returns, reports and statistics for the bodies of state funds. Submission the reports in electronic form.
Security
Initial setup
Maintenance process
Provide authorized access to groups and to individual users. Administration and management of users’ information
• Audit trail (running change control)
Integration
Portal/finance portal pack, online access
Asset Management
Business Processes Supported – Phase II
Record and Manage Assets
Inventory
Automated recording of physical plant assets and purchases of assets
Automated calculation of depreciation with user-defined rules on methodology and
frequency
Create/convert physical location inventory
Interface with general ledger, accounts payable, purchasing
Converted balances with accumulated depreciation converted
Reporting
Replacement of necessary existing asset reports in production
Maya Sharsheeva – User support and Senior manager for E-learning
Safia Rafikova – Director of the Library Services
AUCA ERP Project - Charter 26
Technical and Test Team
AUCA Technical Team Leader (TTL) - The Technical Team Leader manages the processes of
the software development, purchasing, adaptation and implementation. The Leader assures
that the integrity of design is maintained across business processes. This role is also the team
lead for a group of Program and software developers. Web-portal developers, network
administrators. The team Leader works as a System Analyst.
TTL manages the processes, designs and creates technology solutions in response to business
requirements. Design, develop, and test all required modifications, interfaces, conversions, and
reports. Skills include SQL/SQR, Application Designer, 1C-Enterprise, and whatever is
required to complete these development tasks.
TTL manages the Software Change Management (SCM) process for all customer environments.
Their primary responsibility is to coordinate and manage the application of all object changes,
track updates and fixes throughout the various installation database environments and acts as
the approver for implementing changes into the various environments. This individual utilizes
upgrade tools to manage the software upgrade process.
Software and Database Developers -This individuals design and maintain the various
applications, software and database environments required for the new system. The developers
have responsibility for migrating data from one database environment to another and for
maintaining security for each database. They are also responsible for assessing the computer-
related needs of user community, assigning User IDs and setting up security access. They work
on system configuration and the system parts integration.
The Database and Software developers responsible for the high-level design of the technical
solution. The System Architect proposes the use of appropriate technology to meet the needs of
the organization. They determine the number of databases, hardware configurations, and data
sharing and storage criteria.
Systems Administrator - The Systems Administrator is responsible establishing network access
and workstation set up. Other responsibilities include establishing system schedules such as
on-line access "up times," coordinating reporting needs and special batch execution, and
ensuring operational activities were performed (e.g., back-ups and other jobs were executed
successfully). These individuals are knowledgeable about the client's LAN, WAN, and desktop
configuration.
Network Engineer - The Network Engineer is responsible for the design and support of the
existing and future LAN and WAN network architecture. This person conducts circuit needs
analysis, prepares and configures the firewall, and performs day-to-day network support
AUCA ERP Project - Charter 27
activities. Client personnel typically fill this role.
Web Portals Developer - intra- and extra-net site activities. Responsibilities include
development and maintenance of web design, web architecture design, and maintenance of
web-based content according to established standards. This individual is responsible for the
technical infrastructure and maintenance supporting the web site(s), including all the system
portals and supporting web-applications.
Test Team
Test Lead - The Test Lead assures that the project testing approach is complete for all areas of
the project, functional, technical, and process change. The Test Lead coordinates with the
project manager to complete detailed test plans for all phases of testing. The Test Lead is
responsible for developing the data verification and acceptance methods, procedures for
handling test case failures, issue identification and resolution, and overall project
communication during testing activities.
Systems and Integration Test Lead –The Systems and Integration Test Lead coordinates with
the Test Lead to complete detailed test plans for systems and integration test activities, defining
test execution schedules and roles and responsibilities. The Integration Test Lead is responsible
for overseeing the execution and completion of systems and integration testing, including
resolution of all system and integration test issues.
User Test Lead - The User Test Lead coordinates with the Test Lead to complete detailed test
plans for user test activities, defining test execution schedules and roles and responsibilities.
The User Test Lead is responsible for overseeing the execution and completion of user
acceptance testing, including resolution of all user test issues.
Performance Test Lead - The Performance Test Lead coordinates with the Test Lead to
complete detailed test plans for performance test activities, defining test execution schedules
and roles and responsibilities. The Performance Test Lead is responsible for overseeing the
execution and completion of performance testing, including resolution of all performance test
issues.
Training Team
Training Administrator - This individual administers the enrollment of team members in
PeopleSoft training courses. The Training Administrator usually has responsibility for
assessing training needs and developing training schedules. The Training Administrator will
assist Functional Leads and Business Analysts in the development and deployment of End
User training. Client personnel typically fill the Training Administrator role.
Trainer - The Trainer is responsible for presenting the training material to the End User
training class participants.
AUCA ERP Project - Charter 28
H. Resources Identify the initial funding, personnel, and other resources, committed to this project by the project sponsor. Additional resources may be committed upon completion of the detailed project plan.
Resources Allocation and Source
Funding Source: USAID ($332,080), AUCA
(139,540)
Amount: $467,620
Savings:
Contingency
Reserve
Included as optional services in implementation support
AUCA ERP Project - Charter 29
I. Signatures
The Signatures of the people below document approval of the formal Project Charter. The Project Manager is empowered by this charter to proceed with the project as outlined in the charter.