Finance Process Documents Finance Systems Control

Transcription

1 REVISION HISTORY Rev. No. Date Description Responsible 1.00 Aug May June Original Final Version Approved Updated the process in SYS02 Revised structure of documents for sectorial shared services review work. Ber, MAPS Ber Ber 1.03 Jan-2015 Revised structure of documents in line with new template for 2014 QMS review. Ber, Teresa, Niamh Introduction This document details the processes associated with the Financial System controls required to manage the University s Agresso Financial and support systems. It outlines the support and services supplied to the Finance staff and to the wider University community. There are a number of sub processes that are required to perform this function. Each sub process is defined below in both a descriptive format as well as in a flowchart. They main sub processes are: SYS01 - Management of Agresso System & Structure including Change Management Control SYS02 Agresso Users Registration (Joiners & Leavers) SYS03 - Agresso System Period End Routine SYS04 - Systems Upgrades / Development Projects SYS05 - Third Party Interfaces to Agresso SYS06 - Agresso Super User Support (Finance Staff) SYS07 - Agresso Training and Documentation SYS08 - File Share & Group Security Settings (Shared Document Management) SYS09 - Website Content Management for Finance Department SYS10 Agresso Management Report Templates including Excelerator Reports SYS11 Customer Services PD-SYS-010 Finance Department Page 0 of 28 Version 1.03

2 RESPONSIBILITY Finance System team members are responsible for providing a range of financial supports to the Finance staff and to the University Financial system Users base under the management of the Financials Systems Finance Manager. DOCUMENTATION User guide document is available on the shared training documentation folder at \\iota\finance\training\trainingdocumentation This folder contains User Guides specifically written for the Finance Users and Online Customers detailed and quick reference guides of the Agresso system at the University of Limerick. There are also some training videos available on the Finance Website to assist users to use this technology. It also contains User guides on how to manage aspects of their desktop computing to help them to perform their duties with the assistance of appropriate technology. RECORDS Refer to UL s Records Management and Retention Policy. All records are maintained on our Agresso Financial System. Finance adheres to the University s records management and retention policy. PROCESS VERIFICATION Evaluation of all Financial System Control process effectiveness is carried out using internal self-assessment and customer feedback reviews. Evaluation is also carried out via the annual external auditing process by PWC. PD-SYS-010 Finance Department Page 1 of 28 Version 1.03

3 SYS01 - Management of Agresso System & Structure including Change Management Control PURPOSE Ensure that the Structure and Configuration of the Agresso relational database is in-line with that of the University Organisational structure. The Agresso configuration of its relational database is defined in accordance with UL organisational structure. The Chart of Account (COA), Rules, Cost Centre and Relations Hierarchy, System Parameters and Fixed register Management are used to control the structure on this system. PROCEDURE SYS01- Management of Agresso System & Structure Change request - Generally the core Finance staff or members of project teams will request a change to Agresso Structure. All requests are logged on a call log file. Validation check of change request carried out by Finance Systems Office. Check what the request affects and if any other business needs are affected. Prioritise change request - Prioritise Change Request based on business needs set target completion date or initiate project to manage change. Requestor is notified that system change has occurred or if not a full explanation is given. Update documentation - training documentation, COA, Dept/College structure charts -> The User is given access to documentation via the UL Website/Finance share Agresso Configuration Management (COA and rules settings Cost Centre set-up & relations within UL hierarchy, System Parameters & Fixed Registers). Maintain Agresso Structure in line with UL structure. Complete Configuration Database Management spread sheets and update/validate annually. Change Management Control - Produce a list of all Change Management Control items on a bi-annual basis and get signed off by Finance Management Team. This list is audited by the annual IT controls audit team. Check fixed registers under Agresso common to ensure that Company Information, Posting Cycles, Tax Codes, Period Maintenance, Bank Accounts, Payment Bank registers are all completed. Compare Agresso attribute structure with UL Organisation structure to ensure its accuracy. Run system Trial Balance report. SPECIFIC RECORDS The COA document and UL Hierarchy files are created and maintained as part of this process. The Configuration Database Management is a record of all settings on this system. PD-SYS-010 Finance Department Page 2 of 28 Version 1.03

4 Produce Change Management Control list monthly for sign off. These files can be accessed on the Finance shared folder at \\iota\finance SPECIFIC PROCESS VERIFICATION The Agresso hierarchy structures should match with the UL Organisation structures. Run the Cost Centre Relations report to ensure that all cost centre relations are complete. PD-SYS-010 Finance Department Page 3 of 28 Version 1.03

5 Finance Systems Development Process Owner: Fin Sys Team Version 1.01 Date: 9 th May 2008 Sys01 Management of Agresso System & Structure including Change Management Control Inputs Finance Systems Development Outputs Changes in COA and Rules setting Requests or else out of system development Record change request on Call Log Change approved Changes in Cost Centre setup and relations within UL Hierarchy no Changes in System Parameters and Fixed Registers Send back to requestor with explanation yes Prioritise Change Request based on business needs set target completion date or initiate project to manage change Agresso structure in line with UL hierarchy Requestor/Development Project is notified of change completion Update Agresso Attributes and Relations per attribute Configuration Management Database Maintain a spreadsheet of complete Agresso Database configuration settings. Update annually Complete spreadsheet Database of Agresso configuration settings. Updated annually Record all Change Management Request & Actions on call log Produce a Change Management Control List on a bi-annual basis Sign off of Change Management Control list by Finance Management Team PD-SYS-010 Finance Department Page 4 of 28 Version 1.03

6 SYS02 Agresso Users Registration (Joiners & Leavers) PURPOSE The main purpose of this process is: to give the Finance Staff Super User read/write/execute access to the Agresso Financial System to give online access to College wide users to avail of our online Financial Services to create and maintain the Expenses personnel database of records Registration is defined by giving profile records with different levels of access and authorisation depending on the role within the UL Organisation structure. Joiners and Leavers are managed in this process. Monitor level of user access on system System Access Log report. Regular review of User Accounts to ensure that user system and application access is commensurate with job description. Workflow relations are managed within this process. PROCEDURE SYS02- Agresso Users Registration - The new user completes the User Registration Form located on the Finance Website and forwards to Finance Systems Office. Authorisation is required if the new user is not on the Payroll system (Core). Manage Movers & Leavers Mover and Leaver notification s are sent through the HR system and the Agresso system is updated accordingly. The Finance Systems Office validates the user system access and requirements. System Administrator sets up new user on Agresso and updates the System Access with Control List, User Name and Department follows the How to set up a new Agresso User training document. Once registered on the system - User is notified that system set-up and access is complete. The User is given access to training documentation via the UL Website. On-going customer support is provided to the System User via telephone support and support plus training manuals User Guides & Manuals. Joiners & Leavers: The following is the list of tasks that must be implemented when staff Join or Leave the Finance Department: Joiners -Create a User profile record for the Finance staff member using their first name i.e. Ber. Leavers Terminate User profile access & remove all of the Role and Clients list in their profile. Joiners PD-SYS-010 Finance Department Page 5 of 28 Version 1.03

7 The following steps must be implemented for all Joiners: - register new staff member on Agresso with appropriate User group control i.e. assign required Roles to the user profile records. - setup Purchasing & expense users with an Employee record in order to allocate resno to PO and Expense roles. - set up Invoice approval limits and record added new staff member to the active directory group Security Group Finance to allow access to the Finance shared folders. - add new member to the appropriate generic mailbox e.g. Purchasing@ul.ie mailbox - if required for job add to the Agresso mail box inbox and sent items. - Induction training to Finance Department - Full training on job description arranged by line manager. Leavers The following steps must be implemented for all Leavers: - Leaver notification received confirm user has left UL - terminated user record from Agresso - If Finance staff: o removed Finance staff from the active directory group Security Group Finance to stop access to the Finance shares o remove access from any function specific file share folders o remove from generic mailbox e.g. Purchasing@ul.ie mailbox o remove from the Agresso mail box inbox and sent items - If the staff member is leaving the University and has an Employee record on Agresso this must be terminated - Exit Training if staff member is moving to another area within UL SPECIFIC DOCUMENTATION User Access Control List is maintained to reflect all of the Users setup details on the system. SPECIFIC RECORDS There are a number of How to Manuals for Finance Staff which detail how to preform specific tasks on the system. There are a list On-line User Guides as well as Quick Users Guides to help the users of this system. SPECIFIC PROCESS VERIFICATION PD-SYS-010 Finance Department Page 6 of 28 Version 1.03

8 Monthly management of user access records - This check is generally done at start of academic year to pick up all changes in Department s/hod s. Administrator checks list and notifies Finance of all user/cc Manager changes. System access log checked for logon details and any incorrect logon attempts are noted and followed up for security reasons. Level of user access is reviewed to ensure its commensurate with job description PD-SYS-010 Finance Department Page 7 of 28 Version 1.03

9 Finance Systems Development Process Owner: Fin Sys Team Version 1.01 Date: 9 th May 2008 Sys02- Agresso Users Registration Update: Dec-2014 System Users within University Finance Systems Development Outputs Complete User Request Form from Website Validation Check - Approved by Mgr? - Access to what CC s and modules? no Return request/form to user and ask for more information or authorisation for access Yes New user request by If user is System Admin authorisation sought from Head Finance Yes If System Admin authorisation not granted Users is not set up from HR Core system with notification of Movers & Leavers User is set-up on System as a New User by System Administrator, follow steps in How to create a New User on Agresso training document Update System Access Control List - User Name, Dept Notify User of System Set-Up with online training and access details New Cost Centre budget Manager, Heads of Departments, Deans & College Administrators, are setup as Agresso user by default Provide Ongoing Customer Support to all Users. Advise to log any technical issues with ITD help desk Annual Check of all changes within Colleges/ Departments list generated from Finance and sent to Colleges/Depts to be validated and changes send back s sent to Colleges/ Dept with changes confirmed Monthly review of Users access records system access log. Review users level of access commensurate with job description Changes needed to access records any access error attempts/warnings sent to system manager PD-SYS-010 Finance Department Page 8 of 28 Version 1.03

10 SYS03 - Agresso System Period End Routine PURPOSE The purpose of this process is to run the Period End Finance System controls for the University. Agresso Periods for old month are closed and new period opened for new processing month. Reports are run to ensure that the relevant periods have been updated and that all transactions for that period have been processed plus reconciled within all modules on Agresso from a system transaction processing standpoint. Period End Control Sheet is completed and signed off for each section. PROCEDURE SYS03 - Agresso Period End Routines Control Tasks Follow the steps in the training document Month End Routine on Agresso Control Tasks - Open the new processing period on Agresso. Close out the Old Period and password protect. - Update Period in Company Information - HR => Update Processing Periods for the Expense module - PO=> Update PO & GRN Processing Periods for the Purchasing module - Check Posting Cycles for number sequences - Sign Off sheet to indicate that Control Tasks are completed Agresso Period End Validation Period End Validation Exercise within Agresso - Error Transaction, Corrections to make and to be made send back to originator for correction - Unbalanced Transactions AG07 - GL => Accounts Receivable/Accounts Payable Reconciliation AG06 - Transfer to GL completed. Transfer in batch input maintenance and corrections made check for parked transactions - Sign off that Period Validation is completed Agresso Period End Reports Period End Reports within Agresso - Run Trial Balance GL09 - Run New Supplier list per month ( no of changes) - Run User Access Log and check - Outstanding Remittance Proposals and Maintenance back to originator for correction if any found PD-SYS-010 Finance Department Page 9 of 28 Version 1.03

11 - GL Updates => check payment confirmation for both domestic and non domestic payments back to originator for correction if any found - Cost Centre Relations Validation Report back to originator for correction if any found - Sign off on all Period End Reports completed SPECIFIC RECORDS Agresso Period End Control Sheet. SPECIFIC PROCESS VERIFICATION Running of reports to confirm that all jobs/processes have updated on the system. PD-SYS-010 Finance Department Page 10 of 28 Version 1.03

12 Finance Systems Development Process Owner: Fin Sys Team Version 1 Date: 20 th August 2007 Sys03 - Agresso Period End Routines carried by Finance Systems Office Control Tasks Period End Validation Period End Reports Open New Processing Period Error Transactions - Corrections to make - Corrections made Run Trial Balance GL09 Close Out Old Period Unbalanced Transactions AG07 - make corrections Run New Supplier list per month - # of changes - Agresso workflow send daily with all Supplier changes to Agresso Mgr Update Period in Company Information GL AR/AP Reconciliation AG06 - make corrections Run User Access Log and check HR Update Processing Periods Transfer to GL completed - transfer in batch input maintenance - Corrections made check for parked transactions Outstanding Remittance Proposals and Maintenance PO Update PO & GRN Processing Periods Check that there are no outstanding remittances waiting to be processed GL Updates check payment confirmation for both domestic and non domestic Check Posting Cycles for no sequences Run Cost Centre Relations validation report get missing values populated by ledger managers Sign Off that Control Tasks are completed Sign Off that Period Validation is completed Sign Off that Period End Reports are correct & complete PD-SYS-010 Finance Department Page 11 of 28 Version 1.03

13 SYS04 - Systems Upgrades / Development Projects PURPOSE To ensure that all new software releases plus system upgrades and developments are implemented onto UL systems and to ensure that they are tested, issues highlighted and signed off by Users/Managers. To ensure that all user documentation associated with the new software is updated and that all internal users are trained accordingly. PROCEDURE SYS04 - Agresso System Upgrades Vendor releases new software version or upgrade. Finance department identifies new developments required in-line with business needs, strategic plan or sectorial/market place requirements. Involves Finance System staff, 3 rd part Vendor plus ITD within University. Business Analysis is completed in terms of the business need and business benefits of new software versus outdated software before the decision to purchase and raise contract with supplier. Project plans are defined, project teams are put in place, contracts are defined with support consultants. The new Software Version is installed onto the Development Server. Test scripts are completed for all process steps and signed off: Run Testing Procedures - all original processes plus new features are tested to check that they are functioning correctly and meet the business requirements of the University. Prepare test scripts for all operational processes. Run Testing Process in all areas of finance plus operational units. Acceptance of New Software Version - All upgrades are signed off by system manager and core Finance Users. Update user documentation associated with New Software. Maintain Project charters, specifications and records including minutes of meetings for audit. Providing User Training associated with new Software Releases. PD-SYS-010 Finance Department Page 12 of 28 Version 1.03

14 Finance Systems Development Process Owner: Fin Sys Team Version 1.01 Date: 20 th August 2007 Sys04 - System Upgrades Updated: Dec-2014 Source Vendor Software Finance Systems Development Outputs Vendor Software Release New Version Carry out Business Analysis - Benefit of New Software/ features versus Outdated Technology old features or/ and Bug fixes Decision to purchase & Timing no Do not implement at this stage. Monitor the marketplace and system for changes. yes Load new Software Version on Development Server Define/Agree Installation project plan with Vendor and ITD setup Project team Vendor and ITD sign off on software installation and services Prepare test scripts for all operational processes and agree with core users Testing Process in place - Finance plus Operational Units - Run Test Scripts - Highlight Issues call log issues and resolve - Sign Off from Users and Project Team & Accept Updated documentation associated with new Software User Guides, Web pages etc. User Trainer associated with new Software Release no Acceptance of New Software Release Go Live Decision yes Go Live with new software New s/w release in live operation PD-SYS-010 Finance Department Page 13 of 28 Version 1.03

15 SYS05 - Third Party Interfaces to Agresso PURPOSE To load all source transaction data files from University departments and external sources/systems such as Banks, Fexco Foreign Currency Payments Service, Excel Templates or Bank efile (XML format), to interface with Agresso ensuring accurate current financial information is updated and financial controls and validations are implemented. Examples include:- Inter-Departmental Charges e.g. Telephone, Postage & Print Charges (ITD) Payroll Bank Reconciliation Files Fexco Commission Charges Dataloads re Department Service level agreements PROCEDURE SYS05-3 rd Party Interfaces to Agresso Source Data Files are received by Finance Department staff for import to Agresso GL Ensure that the interface files/extracts are working effectively. Interface mechanism/systems include the following: - Batch Input Formatter - GL07 Dataload (Agresso) -.XML Conversion Template file - Core Payroll System The following control procedures have been put in place:- Sign off on Control Sheet for Dataloads onto Agresso is complete. Batch load will not complete unless batch is balanced. (If an error occurs the transaction is entered into the suspense account which is picked up by month end processing if user doesn t pick it up at processing time). Dataload transactions will not be imported into Agresso unless the transactions balance. All data from 3 rd party systems are authorised by the managers of these systems. In Excel, run the interface Batch Input formatter (soft-file writing software programme for file integration and transfer) on the dataload template containing the source data, this will create a file suitable for upload to Agresso. In Agresso run Batch Input (transactions from external system) the integration tool imports the Source Data records through the GL07. PD-SYS-010 Finance Department Page 14 of 28 Version 1.03

16 Data load template from Agresso with source data input and extracts out from data load templates are audited annually. The dataload control sheet is completed and sign off by users. SPECIFIC RECORDS Source Data File used for data input. Dataload Template Dataload Control Sheet. PROCESS VERIFICATION GL07 Journal compared to source document, spot check figures, check totals. Dataload control sheet contains number of lines and totals of both source file and Agresso GL figures on transaction. PD-SYS-010 Finance Department Page 15 of 28 Version 1.03

17 Finance Systems Development Process Owner: Fin Sys Team Version 1 Date: 20 th August 2007 Sys05 3 rd Party Interfaces to Agresso Updated: Dec-2014 Files into GL Agresso Integration Files out (extracts to 3 rd parties) Payroll input by Payroll Office Download Tool for Agresso Integration Batch Input Formatter must be installed on Users PC within Excel Telephone & Print Charge from ITD input by AR Office Imputers to Populate Excel Template for Data Input as defined by Finance Systems Office Central Postal and Telephone input by AR Office Service Charges input by AR Office Imputers to select option to Write input file for Agresso using Batch Input Formatter Use GL07 Batch Load Interface within Agresso to load this file into Agresso yes Error on load Student Fees input by Fees Office Correct errors on input data no Bank Reconciliation efiles input by M O Connor Update the Control Sheet Data load template which is audited annually Fexco Payments Files input by AP Office Agresso Payments Process Payments File Processing and Payments Form Processing EFT Bank Payments Cheque Bank Payments PD-SYS-010 Finance Department Page 16 of 28 Version 1.03

18 SYS06 - Agresso Super User Support (Finance Staff) PURPOSE To provide full system support and training to Finance users across all Agresso modules as well as supporting technologies. This support assistance includes training and development of policies and procedures required to help all staff to perform their various functions in a timely and efficient manner. All calls and queries raised by Finance User are tracked on an Excel database. Queries/issues are analysed and resolved by Finance Systems Office, Internal ITD or Unit4 Helpdesk. Issue/request resolution is validated on the test system before putting into live if it s a complex issue or not an obvious resolution and is signed off by the User/Manager of the specific function. PROCEDURE SYS06 - Agresso Super User Support Issues are raised by Finance User with Finance System Team via Call / to generic account / Online Users Helpdesk/ Trouble Shooting Document Problem Analysis by Finance System Team Problem Analysis completed as to whether the problem/issue is the following: - Internal and pass to ITD - External and pass to Unit4 - Resolved by Finance System Team If Internal => log call on ITD Helpdesk: - ITD Helpdesk Software - User logs the call on ITD helpdesk if problem is an internal issue If External => log call on Unit4 Helpdesk: - Finance System Team member logs call on Unit4 Helpdesk - Issues are resolved by Finance Team / ITD / external parties - Record and track all calls on Call Log record SPECIFIC RECORDS Call Log Records SPECIFIC PROCESS VERIFICATION Call log record tracks the calls being dealt with. PD-SYS-010 Finance Department Page 17 of 28 Version 1.03

19 Finance Systems Development Process Owner: Fin Sys Team Version 1 Date: 20 th August 2007 Sys06 - Agresso Super User Support Updated: Dec-2014 Internal University Users Finance Systems Development Output Problem raised by Finance User by telephone or by Problem Analysis by Finance System team Record and track all calls on Access / Excel Database Call / Help / Trouble Shooting Document Decision- need to log call externally no Problem Resolved by Finance System Team yes yes Internal - ITD External - Unit4 Call log updated, call closed and User informed of resolution Log Call on ITD Helpdesk Log Call on Unit4 Helpdesk Problem Resolved yes no Call may be put on hold or work around found to resolve Review status of all call logs on weekly basis Follow up outstanding calls with relevant party and communicate back to customer PD-SYS-010 Finance Department Page 18 of 28 Version 1.03

20 SYS07 - Agresso Training and Documentation PURPOSE To ensure all training modules/guides and training requirements are documented and form part of the Employee Induction Programme. To ensure a generic training programme is in place. Training is designed in line with defined processes. Relevant training documents are published on the Finance Department website. Training documentation and programmes are current and relevant. Generic Training Programmes are available on request for all staff members within Finance plus Agresso Users within the University. Group and individual training courses are scheduled and delivered. Agresso User Guides, Quickguides and How to Manuals are available on the shared directory. Training Programme Outlines and Feedback forms are kept.( \\iota\finance\training) PROCEDURE SYS07 - Agresso Training and Documentation Standard Training documentation is stored on finance shared drive. This forms part of Employee Induction and train the trainer programme and staff training programmes. This ensures that generic training programmes are in place for all staff members within Finance. Online User training documents are published on the Finance Department web page. Support and training is available on request (Helpdesk Ext: 3599) Updates on Documentation Agresso Documentation and User Guides are updated in line with all system developments. All documentation is kept up-to-date and stamped with Document and version control notation. SPECIFIC DOCUMENTATION See attached Process map. User guide document is available on the shared training documentation folder \\iota\finance\training\trainingdocumentation SPECIFIC RECORDS User Guide Documentation. Training Programme outlines. Feedback forms. Document Control Record PD-SYS-010 Finance Department Page 19 of 28 Version 1.03

21 Finance Systems Development Process Owner: Fin Sys Team Version 1 Date: 20 th August 2007 Sys07 - Agresso Training and Documentation Source Training Documents Finance Systems Development Output Source Agresso User Manuals plus Guides - 1 Document per Module - Procedure Help Guidelines - programme schedules for each training session Stored on Training Documentation Shared Drive for Finance Recommend to finance managers/supervisors to use Agresso training material as Standard part of Employee Induction Agresso Training Documentation on UL Finance Website - Chart of Accounts - College Dept Structure - How to Manual - Online User Quick guide - Online User Guide - User guide Accounts Payable - User guide Accounts Receivable - User guide Common - User guide Fixed Assets - User guide General Ledger - User guide HR Expense Ledger - User guide Purchasing Specific Agresso module training, Super User Training Train the Trainer Programme Specialised training for Agresso Core User, Online Enquiry User, Super Users Staff Training Programme Generic Training for all staff members within Finance PD-SYS-010 Finance Department Page 20 of 28 Version 1.03

22 SYS08 - File Share & Group Security Settings (Shared Document Management) PURPOSE To ensure that each member of Finance staff has sufficient access required to for the shared file storage disk in order to help them to perform their duties. Maintain the shared folders on \\iota\finance + manage the staff lists and permissions defined on the Outlook Security Group settings for Finance. PROCEDURE SYS08 - File Share & Group Security Settings Create Operational Task directories for all shared information in Finance and manage security permissions. A File Share & Group Security Settings are set-up on the Finance Central Disk Space to provide operational task directories to all areas within the Finance Dept. Security Access is controlled to give required access to these files. Change in staff Need to update settings and permissions on these shares and outlook group for all changes in staff or staff functions. Access level requirements as defined by relevant line manager. Plus requests for new file share space. Regular reviews of staff defined on the Security Group Finance properties within outlook. Access permissions and levels match those requested/required by staff member. PD-SYS-010 Finance Department Page 21 of 28 Version 1.03

23 Finance Systems Development Process Owner: Fin Sys Team Version 1 Date: 20 th August 2007 Sys08 - File Share & Group Security Settings Source Infrastructure Finance Systems Development Output Managed Finance Disc Space on Central Server for business need \\iota\finance Create Operational Task Directories with required permissions Access to specified files by User Back-Up procedure run every night by ITD Define Security permissions required against each folder on this share Re-state folder access based on functional group and level Updated with Security Group Finance Joiners, Leavers and Role Changes Active Directory grouping set by ITD Security Group Finance New Staff/Staff changes within Finance Manager Generic accounts with joiners, Leavers and role changes - Accounts Payable Contact Point -Accounts Receivable Contact Point - Salaries Contact Point - University of Limerick Accounts Contact Point (Agresso) - Accounts.Research.Office Access to specified generic accounts by Finance Users PD-SYS-010 Finance Department Page 22 of 28 Version 1.03

24 SYS09 - Website Content Management for Finance Department PURPOSE To ensure that the Finance Website is updated correctly and contains the most up to-date finance information as supplied by relevant parties and that secure access to the website is maintained. Maintain both the Website Server (Intra-Net and Internet) on UL Server. Note: There is a Web Editorial Group in place to help manage the Content once we move onto the standard web content management system, Drupal. PROCEDURE SYS09 - Website Update [Intra-Net and Internet] for Accounts Department The Finance Departments Website server on the main UL Web Server. Change Requests are received from Relevant Parties in Finance Department. Source data is edited and converted into publishable formats before it s published on the web pages. Data is received in various formats and converted into either Html, excel or PDF formats before publishing on web site. Information is signed off by appropriate managers before it s published. Files are transferred to the UL Server when updates are made by each function within Finance Department. Transfer updated files to Finance Website where web pages are updated with changes via standard forms, documents and website update procedures. Maintain Staff lists and structures for the Department - Use phpmyadmin (version 2.6.1) to maintain database of staff rank and detail records. Log into phpmyadmin to maintain the staff listings. SPECIFIC RECORDS A copy of all website published files are kept on the shared folder at: \\iota\finance\systemmanagement\finance Live Website. SPECIFIC PROCESS VERIFICATION Sign off on Document Change control forms. PD-SYS-010 Finance Department Page 23 of 28 Version 1.03

25 Finance Systems Development Process Owner: Fin Sys Team Version 1 Date: 20 th August 2007 Sys09 - Website Update [UL Intranet and Website] Source Infrastructure/Data Finance Systems Development Output Website Server on UL Server - Intra-Net - Internet Finance Website Source Data for Web site Convert Data into publishable format Updated Finance Website Transfer files to UL Server Make Updates/Additions Maintain Function Page with staff changes Forms, Documents, Procedures Notify Users PD-SYS-010 Finance Department Page 24 of 28 Version 1.03

26 SYS10 - Agresso Management Report Templates including Excelerator Reports PURPOSE To create and maintain Management report templates including Excelerator Report Templates in accordance with requirements from Finance Officer, complying with statutory reporting requirements and Financial Statements in both HEA and GAAP formats. To ensure that the suite of excelerator financial/management/operational reports is sufficient for the business and statutory needs of the University and report templates are matched against the business need. PROCEDURE SYS10 Agresso Management Report Templates including Excelerator Reports Need Identified by Finance Officer(s), report type and controls are defined. Excelerator and Agresso attributes and relations, COA, Fixed Registers are used to produce reporting templates as defined. Report templates are created extracting required data, access and permissions are set on these report templates. Review the effect on these elements within Agresso for the most efficient use of this report template and update if necessary. Menus and report variants are set up on Agresso if report to run from there, Set-up test and review, variants, controls. Validate figures against those held on Agresso some reports have check totals built in for automatic reconciliation. Finance manager will sign off on all new reporting templates for completeness and accuracy. Notify Users of new reporting template and provide training (One-to-one training for using reporting templates is given, training procedure in place) Update Excelerator Reports Inventory file SPECIFIC RECORDS Excelerator Reports Inventory record. SPECIFIC PROCESS VERIFICATION Update Reports Inventory Maintain Reports Inventory on Shared Finance file store with Uses and complexity classifications as per PWC instructions. PD-SYS-010 Finance Department Page 25 of 28 Version 1.03

27 Finance Systems Development Process Owner: Fin Sys Team Version 1 Date: 20 th August 2007 Sys10 - Agresso Management Report Templates including Excelerator Reports Updated: Dec-2014 Source Dept Finance Finance Systems Development Output Source Report / Need identified by relevant Finance Officer Report design and definition Decision Anaylsis: - Report Type - Chart of Accounts - Description - Frequency - Responsible to Run - Version Control - Uses (Operational, Analytical, Financial) - Complexity Creation of Report Templates: - Contract Research Reports, including GAAP Overheads - Ancillary Reports, including GAAP overheads - Recurrent Budget Reports - Capital Reports - Bank Reconciliation Reports - VAT Reports - Financial Statement Reports - All ed Reports Operational and DB Relational reports - Other Reports Agree report Design with requestor decide if online report template needed or excelerator Report within Agresso or from PC Agresso PC Create template to be run from Agresso Create template to run from users PC Review Report Writing Fields on Agresso (Attributes, relations & values) Train Finance User how to run the various reporting templates Finance Users trained to run and update excelerator report template as required. How to check sending of reports and maintain lists on report worksheet. How to manage the Agresso mailbox for these reports Update Excelerator Reports Inventory file Reports Inventory on Shared Finance file store with Uses and complexity classifications as per PWC instructions PD-SYS-010 Finance Department Page 26 of 28 Version 1.03

28 SYS11 Customer Services PURPOSE To ensure that the needs of our customer base are adequately met in an efficient and timely manner and that customer calls and actions are recorded and analysed to help us to improve our services. Customer Query is answered and call/request is closed. Response to customer query is accurate based on knowledge base and expertise of respondent. Perform trend analysis on calls and feedback received to enhance our customer service delivery. Build up a knowledge base. Identifies training or service gaps in our financial online services and feeds into our process improvement process. PROCEDURE SYS11 Customer Services Queries are raised by phone / with Finance Systems Administrator. - Finance Systems administrator records and resolves query - If unable to due to system issue or other department issue, raises with relevant 3 rd party. - Reverts back to Originator - Issue resolved - Query/resolution knowledge base is built up SPECIFIC RECORDS Call log record keep on shared folder \\iota\finance\systemmanagement\admin working SPECIFIC PROCESS VERIFICATION Queries are answered and call closing statistics are in line with norm. PD-SYS-010 Finance Department Page 27 of 28 Version 1.03

29 Finance Systems Development Process Owner : Fin Sys Team Version 1.00 Date : 20 th August 2007 SYS11 - Customer Services Inputs Finance Systems Development Outputs Issue / Query identified Query logged/filed by Finance Systems Admin on Call Log Record excel file allocated to staff for action Yes Originator Source / Telephone Issues Resolved Revert to Originator with resolution No Issue resolved Escalate to 3 rd party for help Query database updated with query type and information Build up Frequently Asked Questions knowledge base Finance Systems type queries/ resolutions knowledge base Customer services trend analysis done by manager of section on quarterly basis Finance Systems customer services trends analysis PD-SYS-010 Finance Department Page 28 of 28 Version 1.03