Role Mapping Workshop - FI$Calfiscal.ca.gov/...SCO_STO_Role_Mapping_Workshop.pdf · departments with an overview of the role mapping process and how to complete the role mapping ...

Role Mapping Workshop

2017 SCO/STO Release

• Purpose, Objectives, and Key Takeaways• Timeline and Due Dates• Role Mapping Use and Tools• Recap & Look Ahead

Session Agenda

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• The Purpose of the Role Mapping Workshop is to provide departments with an overview of the role mapping process and how to complete the role mapping tasks (TECH330/TECH335)

• Objectives:– Understand role mapping and the tools/resources available– Understand how to complete the TECH330/TECH335 tasks– Understand workflow and information required– Understand the due dates and next steps

Purpose & Objectives

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1. TECH330a: Assign Control Roles for UAT Pass 2

2. TECH330b: Assign Departmental Roles for UAT Pass 2

Overview of Role Mapping

March MayFebruaryJanuaryJanuary JulyOctober November December JuneApril

Role Mapping Timeline

UAT Pass 1Roles for UAT Pass 1

Role Mapping activities allow SCO and STO to assign security roles to end users based on their job requirements and the type of work they will perform in FI$Cal. Security roles define what users can see and do in FI$Cal.

Description MDW Tasks

Roles for UAT Pass 2

Roles for Go Live

UAT Pass 2

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• To define what end users see and do in FI$Cal• To support enforcement of separation of duties• To support enforcement of hard stops • To identify updates to end users for FI$Cal training• To map users to required FI$Cal training courses based on their

role assignments • To identify participants for department change discussions

How Role Mapping is Used

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• Role Mapping Workshop – January 6, 2017• Share Role Mapping materials at your department – Post

January 6, 2017• Role Mapping 1:1 Working Sessions – January 16-20, 2017• Submit Role Mapping Task for UAT Pass 2 (TECH330) – Due

January 27, 2017• Submit Role Mapping Task for Production (TECH335) – Due April

28, 2017

Role Mapping Timeline

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• Task Information: Assign FI$Cal roles to all SCO and STO end users in preparation for UAT Pass 2 starting in March and in support of future training assignments – TECH330a: Assign Control FI$Cal roles for UAT Pass 2– TECH330b: Assign Departmental FI$Cal roles for UAT Pass 2

• Release Date: Friday, January 6, 2016 • Due Date: Friday, January 27, 2016• Key Reminders:

– All submissions must be received be a Departmental Authority or Designee (DAD)

– Control and Departmental Roles require a separate FI$Cal User ID/Email Account

– Do not make changes to the template format (e.g., add columns, remove columns, etc.)

TECH330: Assign FI$Cal Roles for UAT Pass 2

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• TECH330a includes Control role for Accounts Payable, Accounts Receivable, Bond Accounting, Cash Management, and General Ledger

• TECH330b includes Departmental roles across all modules in FI$Cal including Loan Accounting

TECH330a vs TECH330b

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• Role Mapping Task Instructions and Response Templates– TECH325a: Assign FI$Cal Roles for UAT Pass 1– TECH330a: Assign FI$Cal Control Roles for UAT Pass 2– TECH330b: Assign FI$Cal Departmental Roles for UAT Pass 2– TECH335a: Assign FI$Cal Control Roles for Go Live – TECH335b: Assign FI$Cal Departmental Roles for Go Live

• FI$Cal Separation of Duties (SOD) Matrix• FISCal Hard Stops Matrix• SCO/STO Release Role Description Handbook• SCO/STO Release Business Process Workshop (BPW) presentations

Materials are available on the FI$Cal website: http://fiscal.ca.gov/wave_3_resources/index.html

Role Mapping Tools

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http://fiscal.ca.gov/wave_3_resources/index.html

• The TECH330a Response Template consists of two main parts: • User Information: Complete all information for each end user who will

have access to FI$Cal for the SCO/STO Release

• FI$Cal Roles (listed by Module): Mark with an “X” any role that should be assigned to the user (a brief description is included)

TECH330 Template Preview

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• Accommodation Request/ Assistive Learning Request• Additional Business Unit Access• Current/Previous End User of FI$Cal• Department E-mail• Job Classification• Location – Training Hub• Primary Business Unit

User Information Key Terms

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• Separation of Duty (SOD): The FI$Cal Separation of Duties Matrix defines roles that should not be assigned together

• Examples:

• Hard Stops: Hard stops are set in FI$Cal to prevent a user from doing something that could be considered a SOD violation

• Examples:

Separation of Duty and Hard Stops

If you are an employee of… and you are assigned… you should not also be assigned…

SCO or STO SCO Warrant Payment Maintainer

AP: SCO AP Payment Processor

SCO or STO Control Agency AR Payment Processor

BI/AR: STO Deposit Slip Processor

If you are assigned the role of… and you also are assigned the role of… the System will not allow you to…

SCO AP Processor SCO AT Approver 1-4 Approve vouchers you have created

STO Cash Forecast Processor STO Cash Transfer Approver Approve cash transfers you have created12

TECH330A: CONTROL ROLES

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Accounts Payable RolesSCO

Accounting Maintainer

SCO AP Batch

Processor

SCO AP Payment

Processor

SCO AP Payroll

Processor

SCO AP Processor

SCO Pay Cycle

Processor

SCO Warrant Payment

Maintainer

STO AP Processor

STO Pay Cycle

Processor

SCO AP Approver 4

Mark with an "X" the SCO DAR end users who will:- set up the payroll business month account- configure the Fund Details page to set up escheatment ChartFields.

Mark with an "X" the SCO end users who will:- run inbound payment interfaces- run outbound warrant print files- run SCO outbound interfaces- update payment references.

Mark with an "X" the SCO Disbursements end users who will: - create and post vouchers and warrants- review and maintain electronic payments- assign redemption percentages and dates to warrants- update warrant status post issuance (e.g., CD 173).

Mark with an "X" the SCO end users who will void or redeposit legacy payroll transactions.

Mark with an "X" the SCO end users who will add and review vouchers on behalf of non-FI$Cal departments.

Mark with an "X" the SCO end users who will:- run warrant pay cycle- generate outbound print files- post payments for warrants.

Mark with an "X" the SCO end users who will:- configure registered warrant options- set up warrant status and warrant status access security- set up warrant print file options- change payee name and payee address post issuance.

Mark with an "X" the STO end users who will enter, research, delete, and correct vouchers.

Mark with an "X" the STO end users who will: - run pay cycle- cancel payments- post payments.

Mark with an "X" the SCO DAR end users who will approve direct transfer vouchers.

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Accounts Receivable (AR) RolesControl Agency

AR Payment Processor

SCO AR Cash Clearing

Processor

SCO AR Maintainer

SCO Write-off Approver

STO Demand Journal

Processor

STO Deposit Slip Processor

Mark with an "X" the end users who will: - enter payment data- apply payments to invoices (through worksheets or Payment Predictor)- run FTB/Lottery Offset and Outbound FTB Interfaces.

Mark with an "X" the SCO end users who will run the Deposit Cash Clearing process.

Mark with an "X" the SCO end users who will set up the configuration for cash clearing.

Mark with an "X" the SCO end users who will approve write-offs above the threshold amount.

Mark with an "X" the STO end users who will record demand journals (deposits) in FI$Cal.

Mark with an "X" the STO end users who will enter and update deposit slip information for non-FI$Cal departments.

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Bond Accounting (BA) RolesControl DM Processor

Mark with an "X" the control agency end users who will:- process debt issuance, including viewing debt details to validate, reversing debts and performing any necessary manual refunding or defeasances- process interfaces related to debt issuance.

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Cash Management (CM) RolesSCO Cash

Transfer Processor

SCO CM Journal

Approver

SCO Investment

Pool Administrator

STO Bank Account

Maintainer

STO Bank Reconciliation

Processor

STO Cash Forecast

Processor

STO Cash

Transfer Approver

STO Confidential

Bank Account Approver

STO Confidential

Report Viewer

Mark with an "X" the SCO end users who will create and submit requests for bank account transfers between CTS bank accounts.

Mark with an "X" the SCO end users who will approve journal entries submitted by departments via the Cash Management Module.

Mark with an "X" the SCO end users who will: - add and remove participants- process interest allocation- approve transactions in the investment pool- process interfaces related to investment pools.

Mark with an "X" the end users who will create and maintain banks, bank branches, and all bank accounts that the state configured.

Mark with an "X" the STO end users who will: - enter and update deposit slip information for non-FI$Cal departments- configure any configuration related to the deposit slip- approve department supplemental deposit slips- reconcile the bank statements for each demand bank account under the depository banks by reconciling transactions via automatic, semi-manual, or manual reconciliation and analyzes exceptions to

Mark with an "X" the STO end users who will:- create and submit requests for bank account transfers between demand accounts- create and maintain configuration for cash positions, time spans, and cash position Structured

Mark with an "X" the STO end users who will review and approve transfers between demand accounts.

Mark with an "X" the STO end users who will accept or reject the bank account details recorded and approved by the department user for accounts outside of CTS.

Mark with an "X" the STO end users who will: - view the bank account details for accounts outside of CTS- run the reports related to accounts outside CTS with an unmasked account number.

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General Ledger (GL) RolesSCO

Appropriation Approver

SCO Average

Daily Balance

Processor

SCO Cash Forecasting

Administrator

SCO Cash Validation Exception Processor

SCO Financial Statement

Report Processor

SCO GL Configuration

Maintainer

SCO GL Journal

Approver

SCO GL Journal

Processor

SCO Appropriation

Processor

SCO GL Budget

Definition Maintainer

Mark with an "X" the SCO end users who will:- create and post statewide controlling budget journals - post appropriation transactions interfaced from Hyperion- override claim budget exceptions.

Mark with an "X" the SCO end users who will run the Average Daily Balance Calculation process.

Mark with an "X" the SCO end users who will:-update/maintain the configuration pages associated with the Cash Forecasting process- run the daily Cash Basis Report, the Cash Forecasting Daily Report, Cash Forecasting Monthly Report- run the Mapping Change

Mark with an "X" the SCO end users who will override cash validation exceptions.

Mark with an "X" the SCO end users who will:- create the Budgetary/Legal Basis Annual Report, the GAAP Basis Annual Report, and supplements- run the SCO Year End Financials process- runs the reports related to accounts outside CTS with an unmasked account

Mark with an "X" the SCO end users who will:- creates and maintains the CM accounting templates for the External Transactions table for food vouchers, unemployment insurance, and disability insurance- maintain configuration related to the Average Daily Balance Calculation process, the Bond Cash Transfer

Mark with an "X" the SCO end users who will:- approve specified journals- approve AR direct journal payments- review and approve investment accounting entries- review and approve department requests for transfers between CTS bank accounts- correct claim funding

Mark with an "X" the SCO end users who will:- create journals in the modified accrual, cash adjustment, full accrual adjustment ledgers- process the transfer of cash into the bond expenditure sub-funds- run online edit and budget check and submit to

Mark with an "X" the SCO end users who will: - create a statewide controlling budget journal- view Appropriation transactions interfaced from Hyperion.

Mark with an "X" the SCO end users who will maintain the Commitment Control Budget Definition for statewide and department budgets.

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Cross Module RolesSCO DAR Reporter SCO Disbursements

ReporterSCO Reporter STO Reporter

Mark with an "X" the SCO DAR end users who will:- run SCO DAR reports, including the Budgetary/Legal Basis report- view the configuration for cash clearing

Mark with an "X" the SCO Disbursements end users who will:- run SCO Disbursement reports- view legacy payment/claim information- view configured warrant status and warrant status access security.

Mark with an "X" the SCO end users who will:- run SCO-specific GL reports and update/maintain the annual reports configuration page- run SCO reports for bank statements, reconciliation, and cash management processing- view claim and funding information- view registered warrant options- view configuration pages and reports associated with the cash forecasting process- view the Fund Details page to set up escheatment ChartFields.

Mark with an "X" the STO end users who will:- run STO reports- create and maintain queries from the Bank Account and Bank Statement tables.

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TECH330B: DEPARTMENTAL ROLES FOR CONTROL USERS

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• Preparing for production updates and new users• Loan Accounting• Additional relevant modules, e.g. Asset Management, Project

Costing• Workflow

– Workflow automates the flow of information for review and approval

– Every user role identified on the role mapping spreadsheet that requires workflow must be represented on the workflow tab for that module. Otherwise, your department users will not be able to perform their duties.

TECH303b Highlights

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Accounts Payable Departmental RolesAP Supplier Processor

AP Processor AP Approver AP Maintainer AP Payment Processor

AP Confidential User

If your department has vendors, mark with an "A" the end users who will:- create new vendors- add/modify vendor address and contact information- manage 1099 processing.

Mark with an "R" to remove this role for end users that require an update to their roles, as indicated in Column O.

If your department enters invoices, mark with an "A" the end users who will :- create vouchers for the payment of invoices- manage the vouchers through budget checking, hold, and matching activities.


If your department is responsible for approving vouchers, mark with an "A" the end users who will approve the vouchers for payment.


REQUIRES ADDITIONAL USER INFORMATION > See AP Approver Workflow Tab.

If your department maintains your own payables configuration values, mark with an "A" the end users who will maintain department configuration items for Accounts Payable.


If your department creates payments, mark with an "A" the end users who will run the department's Pay Cycle and manage the payments, including canceling, posting, and escheating departmental checks.


If your department has confidential data as part of your transactions, mark with an "A" the end users who will have access to confidential data (this is typically limited to a very small group of people).


Copy user to corresponding Approver tab 22

• AP Approver 1: The department end user who is responsible for approving vouchers through workflow

• AP Approver 2: The department end user who is responsible for understanding the AP Approver's position and approving vouchers through workflow

Accounts Payable Approver Definitions

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Notes / Explanations / Helpful Hints• All end users with an “A" in the AP Approver column on the Role

Mapping tab must be listed on the AP Approver Workflow tab• Each AP Approver end user must be assigned as AP Approver 1, AP

Approver 2, or both AP Approver 1 and AP Approver 2• End users may be assigned to one or both cash types, Warrant and/or

Non-Warrant; if an option is not selected, the default will be both• Each end user assigned AP Approver 2 must have Voucher Signature

Authorization Form on file with SCO Audits• At least one end user must be assigned to AP Approver 1 and at least

one to AP Approver 2• At least one end user must be assigned to Warrant Cash Type and at

least one to Non-Warrant Cash Type

Accounts Payable Approvers

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Accounts Payable Approvers Decisions

LEVEL

1

LEVEL

2

Can be the same person

WARRANTS

LEVELS CASH TYPES

NON-WARRANTS

BOTH

Default is BOTH25

• Enter the email addresses of end users assigned to the Department AP Approver roles

• For each end user listed, select the Cash Type from the drop down menu – Select “Warrant” if the end user will be approving warrants for

your department– Select “Non-Warrant” if the end user will be approving non-

warrant vouchers for your department.– Select “Both” if the end user will be approving warrants and

non-warrants for your department.• Note: “Both” is the default configuration for all AP approvers.

Accounts Payable Approver Workflow

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• Confirm all email addresses are valid– ***E-mail addresses are USER ID’s in FI$Cal and must be

accurate***• All required fields in the demographic information section of the

template are marked with an asterisk (*)• Do not include placeholders for vacant positions• Control and Departmental Roles require a separate FI$Cal User

ID/Email Account

Template Considerations

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• FI$Cal Departmental Authority and Designee (DAD) Form– Submitted by Department Director / Executive Director / Chief

Deputy / Agency Secretary– All required signatures must be handwritten in blue-colored

ink– Submitted to FI$Cal by the Authority from the Authority’s

email address – Required before user access requests (Role Mapping

Response Template) can be processed

Role Security Documents

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• Change Workshop • Role Mapping 1:1 Working Sessions • Process Confirmation Sessions • User Acceptance Testing Pass 2 • Train The Trainer

Upcoming Events

Change Workshop

Process Confirmation

Role Mapping

1:1

User Acceptance

Testing

Train The Trainer

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Questions and Answers

FI$Cal Project Information:http://www.fiscal.ca.gov/

or e-mail the FI$Cal Project Team at:

[email protected]

http://www.fiscal.ca.gov/

mailto:[email protected]