SPI Custodial Bank Concentration 1 of 9 Version: DRFT V1.3 Level 2 Business Workflow: Management 10.1 Cash Position Branch Steps Shaded Grey Indicate ctivities Outside Florida PLM ttachment P2P 3.1 Identify Payments 1.17 dd Daily Cash Receipt Data PY CP 2.21 Payroll Cash Check 1.9 Determine Cash Position by R1 P2P CP 3.5 Wire Review R2 E 1.10 Move all vailable Funds from Concentration to s to Cover Needed Payments re Funds Still Needed to Cover Payments? re Excess Funds Remaining in Concentration? E 1.11 Move Cash from to E 1.12 Move Cash to 3.3 Purchase Investments E 1.14 Wire Funds from to Participant IP 1.8 File for Concentration Multiple Times per Day IP 1.7 File for Main Multiple Times per Day 1.5 Liquidity Feeds the DD with vailable Funds IP 1.6 File for DD Custodial Bank Multiple Times per Day 1.4 Funds Deposited into the SPI Included in Overall 1.1 SPI Participants Deposit to the SPI Multiple Times per Day IP 1.2 File from SPI pplication E 1.3 SPI Balances 1.13 SPI Participants Request Funds from the SPI 1.15 Funds Received by SPI Participant
Federal Bank Federally Mandated IRS gency 42 of 59 Version: DRFT V1.3 Date: 4/19/2015 06/04/2015 Level 2 Business Management Workflow: Management 10.2 gency Federal Bank Branch Steps Shaded Grey Indicate ctivities Outside Florida PLM ttachment E 2.2 Wire Funds to Federal Bank CP 2.20 Reconciles Federally Mandated Daily B CP 2.21 Reconciles Federal Bank 2.1 Instruct to Leave Specific Balances in the Concentration and the mount to Move to Other s 1.3 Deposit into Bank 1.3 Deposit into Bank IP 2.12 Enter UC WH Tax Data into EFTPS P2P 3.10 Issue Payment IP 2.4 Debit Card, EFT & UC WH Data IP 2.9 EFT Payment Data E 2.5 Voucher Prepared in P2P for Debit Cards RB 2.20 Update Customer E 2.7 Florida PLM records UC WH Tax and EFT Payments (voucher) E 2.8 gency s Detailed ing Information (if needed),b CP 2.16 Monitor and Identify and new transactions E 2.17 gency s ing Entries to Reflect New CP 2.18 Reconcile s E 2.19 gency s ing Entry to show Cash in Bank Movement 2.10 Bank Makes Individual EFT Payments 2.11 EFT Returns 2.6 Bank Wire Funds to Contract Vendor IP 2.14 Federally Mandated s/ Balance 2.13 Sweep Funds Due from Federally Mandated 2.3 Receive Wire Transfer IP 2.15 Federal Bank s/ Balance B
External Trading Partners 3 of 9 Version: DRFT V1.3 Level 2 Business Workflow: Management 10.3 Investments Branch ttachment Steps Shaded Grey Indicate ctivities Outside Florida PLM 3.1 Investment Group Determines Investment llocation and tifies External Manager of their pportionment E 3.2 Portfolio Reallocation 1.12 Move Cash to Custodial 3.3 Purchase/Sell Investment Instruments 3.4 Trade Information Sent and Confirmation Returned R5 R6 E 3.5 Trade Information R7 Real Time R8 IP 3.6 ernal Trades File R9 CP 3.11 Reconcile Investment in Florida PLM with the R14 R10 E 3.12 External Trade Information R11 3.13 System Calculates erest and Fees Based on External and ernal Trades R14 E 3.14 Earned erest Calculations (erest and Fees both accrual and cash) R13 R14 R12 E 2.5 Enter mounts to Invest/ Disinvest IP 1.2 File from SPI pplication IP 3.17 File to SPI pp R14 E 2.7 erest pportionment 3.15 System pportions Investment Earnings and Fees Based on DB (by /Fund) E 3.16 Post SPI pportionment E 7.19 System pportions R15 3.7 ernal Trade Information 3.9 External Managers Trade Information Captured IP 3.10 ernal and External Trade s File (Swift) Real time 3.8 External Managers Execute Trades
Bank age 4 of 9 ersion: DRFT V1.3 ate: 06/04/2015 Level 2 Business Workflow: Management 10.4 s Branch erface File Steps Shaded Grey Indicate ctivities Outside Florida PLM /Verification es on other flows CP 1.20 Compare Bank Deposit Data and gency ed Info CP 4.11 System Reconciling Detail to Total CP 1.23 Review and Monitor Exceptions CP 4.13 System of Detail to gency RB Detail CP 3.8 Payment System CP 2.16 Monitor and Identify and new transactions CP 2.18 Reconcile s CP 2.21 Reconciles Federal Bank CP 2.20 Reconciles Federally Mandated Daily CP 3.11 Reconcile Investment in Florida PLM with the CP 7.9 gency 7.10 of CR CP 7.15 Monitor Cash Position and Determine mounts vailable for Investment/ Disinvestment 4.1 Files Received from Banks Daily and - Demand 4.4 Exceptions? Reconciled IP 4.2 Custodial s Investment Data IP 1.6 Daily BI Data Files received on other process flows IP 1.7 ddenda Data IP 4.3 Check Return Data IP 4.4 CH Return Data IP 4.5 Credit Card Return Data IP 1.2 File from SPI pplication IP 1.6 File for DD (BI) IP 3.10 ernal and External Trade s File IP 7.7 n-cr Bank File 7.8 n CR Bank Statement IP 4.3 SPI BI Data IP 3.7 Pay and Warrant Image Data (BI) IP 4.6 Foreign Item Return Data IP 4.7 Check Image Data IP 4.8 R Return Data IP 1.7 File for Main IP 2.14 Federally Mandated s/ Balance IP 2.15 Federal Bank s/ Balance IP 7.6 Daily File
gency 5 of 9 Version: DRFT V1.3 Level 2 Business Workflow: Management 10.5 Outside Banking Services Branch ttachment Steps Shaded Grey Indicate ctivities Outside Florida PLM CP 5.2 Reviews and Evaluates the Request pproved? Outside Bank CP 5.4 Set-up Bank in Florida PLM 5.3 tifies gency 5.5 Issue pproval Letter to gency Revolving Fund? 6.1 Revolving Fund Request 5.1 gency Requests Outside Banking Services 5.6 Begin Using Banking Services
CR Bank gency & 6 of 59 Version: DRFT V1.3 Date: 4/19/2015 06/04/2015 Level 2 Business Management Workflow: Management 10.6 gency Federal Bank Branch Steps Shaded Grey Indicate ctivities Outside Florida PLM ttachment R2R 1.1 gency Initiates Request for Chart of s Update CP 6.2 Review Revolving Fund Request pproved? CP 6.3 Determine CR vs. n- CR Bank n-cr CP 6.6 uthorizes n-cr Bank 6.7 Set-up Bank in Florida PLM R17 CR R16 6.4 Establish CR Participant Profile/Bank 5.1 gency Request 6.1 Revolving Fund Request tify R16 6.8 Establish n-cr Bank CP1 E 6.9 Initial Establishment (invoice and payment in P2P) 6.10 Funds Deposited into Bank 7.1 Expenditures CP1 6.5 Revolving Fund Established
gency Revolving CR Bank gency Reconciler Fund Mgr 7 of 9 Version: DRFT V1.3 Level 2 Business Workflow: Management 10.7 Operate Revolving Funds Branch Steps Shaded Grey Indicate ctivities Outside Florida PLM ttachment R21 E 7.14 Post s from CR File into Florida PLM CP 7.15 Monitor Cash Position and Determine mounts vailable for Investment/ Disinvestment R20 7.10 of CR 7.16 CR Funds Invested or Disinvested in SPI Type of Exceptions? ernal CR Bank 7.17 Wire Funds to/from SPI/CR E 7.13 Correcting Entry 7.12 Contact CR Bank, Resolve nd Communicate Resolution with gency C E 3.16 Post SPI E 7.18 CR Investment/ Disinvestment s are Posted to Florida PLM R15 E 7.19 System pportions erest and Fees Based on DB CR Total (by /Fund) IP 7.21 CR Investment s/ Balances to gency Business Systems E 7.20 System pportions erest and Fees to gency Participants at the lowest level CR Bank IP 7.7 n-cr Bank File CP 7.9 gency 7.8 n CR Bank Statement R20 R18 Type of Exceptions? n-cr Bank 7.11 Contact n- CR Bank to Resolve 6.10, 8.10 Funds Deposited R18 7.1 Revolving Fund Expenditures IP 1 7.2 ing Revolving Fund in the Register 7.3 Replenishment mount Calculated ernal E 7.4 Revolving Fund Replenishment (invoice & payment in P2P) R19 7.5 Funds Deposited into Bank B B C IP 7.6 aa Daily File
gency Revolving Fund Manager & 8 of 9 Version: DRFT V1.3 Level 2 Business Workflow: Management 10.9 Revolving Fund Closing/Balancing Change Branch Steps Shaded Grey Indicate ctivities Outside Florida PLM ttachment CP 8.4 Review Revolving Fund Request 8.5 pproved? tify gency Increase or Decrease/Close? Decrease or Close 8.6 Send pproval Letter to gency Increase 8.7 Send pproval Letter to gency 8.8 Send Copy of pproval Letter to Close? R22 8.11 Close in Florida PLM 8.1 Need to Change Balance or Close Increase or Decrease/Close? Decease Or Close Increase 8.3 Request to Increase/ Decrease or tification to Close E 8.9 Increased Balance (invoice & payment in P2P) 8.10 Funds Deposited into Bank 7.1 Expenditures 8.2 Write Check from Revolving Fund and deposited in
gency & 49 of 59 Version: DRFT V1.3 Date: 4/19/2015 06/04/2015 Level 2 Business Management Workflow: Management 10.9 CMI Branch Steps Shaded Grey Indicate ctivities Outside Florida PLM ttachment IP 9.1 G File of udited SEF 9.2 Calculate Top 90% of Grant Programs Based on Expenditures on udited SEF (GC identies grant as CMI) 9.5 Clearance Pattern Calculated by Grant 9.6 nnual CMI Generated by CFD and Component R23 9.8 Final Entered and Original Signed and Mailed R24 Payment/Claim? Payment Claim 9.9 Voucher Created for CMI Payment 9.10 Claim Submitted through RB 9.3 Grant Expenditures Occurring in P2P 9.4 Federal Draw Occurs in RB Based on nticipated or ctual Grant Expenditure Payments CP 9.7 gency Reviews for their Grants