Pilot Workload Reduction Project Transaction Sampling Process
Contents
1. 27 09 0 00 O ufern E OC OM MO P_ mass 634048 FRTLLO11 1408 07 31 2001 TELECOM MONTHLY LINE RECHARGES F825 ooo o 00 0 00 O ufer E CT MP __ mass 637209 FRMPLBO1 164 07 31 2001 MPL SUPPORT SSE RECHARGE F661 XDEC 0 00 2464 00 0 00 C Hufe E OC OT P mecazse 652000 00225208 2 07 31 2001 Conti Stephane TREX 00225208 0 00 350 00 0 00 C ufern Sy OC OM 0 PF mptaezs 634021 FRTLAO11 1287 07 91 2001 TELECOMMONTHLY EQUIP RECHARGE F825 000 6 04 0 00 D ufer E C OT PP _ pages 634047 FRTLZ011 1405 07 31 2001 TELECOM BROADBAND RECHARGE F825 ooo 000 000 S B Document Done Ee sel m ta 11 6 27 2003 Save Entries and ENPET Buttons Click Save Entries to save changes you ve made to the statuses and any notes or other annotations Saving your entries every 10 15 minutes is a good practice to minimize any lost work if you are interrupted or your connection to Financial Link is lost Also click on Save Entries to save changes before any records are sorted If changes are made to the transactions and then the transactions are sorted without saving the changes first the changes will be lost Click on the ENPET button to save changes and to enter the ENPET screens These two buttons appear at the top and the bottom of all transactions All sampled transactions will be highlighted in yellow and should be reviewed appropriate problem code assigned and appropriate corrective actions initiated Description of Columns 1 OK This box is c2. under the global profile e Show All Not Reviewed and Noncompliant Sampled Transactions Returns all transactions sampled under the global profile and targeted profiles that have not been reviewed or that have been marked with a problem code e Show All Sampled Transactions Returns all transactions sampled under both the global profile any targeted profiles e Show All Not Reviewed and Noncompliant Sampled Transactions for My User ID Returns all transactions sampled under targeted profiles created by your userid that have not been reviewed or that have been marked with a problem code e Show All Not Reviewed and Noncompliant Sampled Transactions for My Group ID Returns all transactions sampled under targeted profiles created by your group identifier that have not been reviewed or that have been marked with a problem code e Show All Sampled Transactions for My User ID Returns all transactions sampled under targeted profiles created by your group identifier e Show All Sampled Transactions for My Group ID Returns all transactions sampled under targeted profiles created by your group identifier After entering the criteria for the operating ledger transactions and clicking on the Submit Form button a screen like the following will appear 10 6 27 2003 3 Ledger Reviewer and ENPET Netscape BEI x File Edit View Go Communicator Help lt 3 a a u g 8 3 Back Foward Reload Home Search Netscape Print Security Shop Stop ut 7 Boo
3. and needs to be corrected For example a transposition of the dollar amount 251 instead of 512 or account code or debit or credit errors e Incorrect Sales Tax Incorrect sales tax or use tax was recorded for a purchase and needs to be corrected via a check adjustment 12 6 27 2003 e EMF OPAFS Pend This transaction is an ENPET under review by OPAFS e Justification This transaction is an ENPET that has been reviewed by OPAFS and has an inadequate justification e Vendor Related Errors Problems are associated with vendors themselves not with the university processes i e incorrect billing for goods received If a transaction has a problem code without a drop down menu that means that a user with a different group identifier changed the status of the transaction Use the History button to find out the person s name and email address That person will have to make any updates to the transaction status Any transactions marked with error codes will need to have the errors corrected Once the appropriate corrective actions have taken place e g documentation received or ENPET processed the transaction s status should be updated in Ledger Reviewer by changing the problem code to ok 4 Account Code Fund Validation Shows account code errors or warnings for a particular fund as defined by OPAFS or the department These transactions may require an ENPET or further justification in the memo field see Attachment II for
4. been reviewed by OPAFS has an inadequate justification OPAFS will contact department for proper backup and then mark as ok A PI has purchase equipment at the Bookstore without prior approval from his business office Item is allowed on funding source but requires an internal rebudget justification FDP awards Vendor Related Errors Your department has issued three Po s to Sun Microsystems The vendor references the same purchase order on all three invoices and you are charged for all three items against your PO You have requested credit memo s from the vendor to correct The expense should be coded and not marked as ok until credit memo has appeared in ledger annotator You discover a payment in your sampled transactions that does not belong to you You drill down on the IDOCS invoice and notice the purchase order number was transposed You contact the correct department and process an enpet to shift expense to the correct index department A vendor ships an item that is not functioning properly The PI has decided to return the item for a full credit Since the invoice was under 5 000 00 Disbursements has already paid the vendor You return the item on a shipping memo and assign the error code You wait for your credit to appear on ledger annotator and then mark the transaction as ok 17 6 27 2003 APPENDIX B The Chancellor approved certain sponsored projects system improvements proposed by the Steering Commi
5. explanation of Account Code Fund Validation and related website information 5 Notes A filled radio button indicates that there are notes associated with the transaction To create a note click on the button 6 ENPET Click on the box if this transaction requires an ENPET to be processed 7 Check Box A check box for departmental use Can serve different purposes as defined within a department For example the check box can be used to identify items that require an ENPET when multiple users reconcile for one department If only checked items are selected to be viewed this can be used as a tool to have other fiscal users initiate the ENPETs 8 Department Reference Number A number or code assigned by a department to track a transaction A common use for this number is to record the fabrication number for a transaction Click on the column header to sort transactions by department reference number 9 Index The index code the transaction was charged to Click on the column header to sort transactions by index code 10 Account The account code the transaction was charged to Click on the column header to sort transactions by account code 13 11 12 13 14 15 16 17 18 6 27 2003 Document and Sequence The document and sequence number for a transaction This item now has IDOCS drill down capabilities You can view the accounts payable information for a given purchase order Click on the column header
6. higher level fund code within the fund hierarchy This box can be left blank if you are selecting transactions to review by Index Organization or Project 5 Organization Any organization code or higher level organization code within the hierarchy This box can be left blank if you are selecting transactions to review by Index or Project 6 Program Any program code This box can be left blank if you are selecting transactions to review by Index Organization or Project 7 Project Any project defined under your group identifier This box can be left blank if you are selecting transactions to review by Index or Organization 8 Account Any account code Partial account codes multiple account codes and ranges of account codes can be used 9 Doc No The document number for a transaction 10 Doc Ref No The document reference number for a transaction 11 Rule The rule class for a transaction 12 Description A description of the transaction Organization and Fund Hierarchies Organizations and funds are grouped into hierarchies based on their function or purpose Using a higher level of the hierarchy for an organization will help reduce the number of separate profiles that need to be created The Financial Analysis Office has a web site that shows the organization and fund hierarchies in a tree view The URL these hierarchies is Organization http www fao ucsd edu fao coa organization OrgFrame cfm Fund http ww
7. most part all transactions that will need to be reviewed will be in the set of sampled transactions Further review may be required for grants that are closing For best practices it is recommended that all transactions are reviewed 100 within the last 90 days of the award Can we review more than the sampled transactions With the exception of grants that are ending or have already ended every effort should be made to only review the sampled transactions according to the global profile see question 7 for further explanation of global profiles We will explore the option of having departments create their own profiles to target specific kinds of transactions in the future once we have sufficient data from the rollout When can I begin to review the sampled transactions Sampled transactions are available for review once the month end ledger has closed Transactions above 2500 are sampled at 100 these transactions can be reviewed before the ledger closes and the sampled transactions are chosen Use the Ledger Reviewer and mark the status code for each transaction above 2500 Do all transactions in the sample need to be reviewed Yes All transactions in the sample must be reviewed and an ok designation indicated if no error found If an error is determined the appropriate problem code should be designated 10 11 12 6 27 2003 What is a Profile A profile is a method to specify specific criteria to appl
8. the left In the Reconciliation and Review section select PWRuP Pilot Project Log in with your mainframe userid and password At the next screen select Ledger Reviewer At the next screen enter your group identifier and click on the Continue button a ee a o After successfully logging in the following screen should appear Ledger Reviewer where Do You Want To Go zj Go FinanciallLink BACK HOME HELP LOGOUT You are currently logged on Please remember to log out when you are done Ledger Reviewer and ENPET Accounting Period Thru Dept Ref No 0203 Sep 1 2001 0203 Sep 30 2001 x Index Fund 4 Organization 5 Program 6 Project 7 Account YOY NEY ery ar BOON Code EF fa accoWrtCoOe MAAE aocoMrtCOORS AIC ANIQeS WFOCOWN TONES Lise P obs D sepa OCONTTOOOES UMEN SECAANG 2 SPEM WMO SEPRE fal tyle BOON COOS WMO SES UNY ONNES Doc No 9 Doc Ref No a Rule bis Description 12 Sort Options 13 Default Index Date Account X OW ney erty a Ri OF pe fa Docanenthlumber DocaientRerrence Rule Ctass or DESHAN Submit Form Reset Form 14 Find IFOP Find Project Save To Disk O Include Db Cr Indicators Vv Include Report Heading Vv Include Report Dropdown List O Show Un checked Transactions Only TI Check for blank indexes I show Checked Transactions Only 15 Show Error amp Warning Transactions Only TRANSACTION SAMPLES REVIEW Profile Name v Show Al Not Revie
9. to sort transactions by document number Date The date of the transaction Click on the column header to sort transactions by date Description The description for a transaction This item now has IDOCS drill down capability for the actual invoice Drill down and Finlink will download a copy of the invoice to your desktop Click on the column header to sort transactions by description Rule The rule class for a transaction Click on the column header to sort transactions by rule class Document Reference Document reference number This item now has IDOCS drill down capability Click on item to view purchase order payment history journal information check adjustments etc Click on the column header to sort transactions by document reference number Budget Award Budgeted or award amounts Click on the column header to sort transactions by budget amounts Financial Expense Expense Click on the column header to sort transactions by expense amounts Liens Encumbrance Encumbrances Click on the column header to sort transactions by encumbrance amounts 14 6 27 2003 APPENDIX A PWRUP ERROR CODES EXAMPLES NOT REVIEWED This is the default for all sampled transactions OK Fund Manager has reviewed expense as appropriate to funding source Fund Manager has also verified that item was received within contract grant period Indx Fund Expense was charged to incorrect index funding source A PI charged a c
10. 6 27 2003 Pilot Workload Reduction Project Transaction Sampling Process Manual CONTENTS Overview Questions and Answers Ledger Reviewer Screen Ledger Reviewer amp ENPET Screen Ledger Reviewer Transactions Appendix A PWRuP Error Codes Examples Appendix B Account Code Validation Appendix C Organization and Fund Hierarchies 6 27 2003 OVERVIEW Transaction sampling and the new ledger reviewer are outcomes of the Pilot Workload Reduction Project PWRuP an initiative to significantly reduce workload associated with reconciliation and validation of accounts by employing a risk based methodology Sampling profiles specify criteria for samples that will be generated during the ledger closing process There is a global profile that is managed centrally and that randomly selects transactions based on very general criteria that meet minimum statistical requirements In the near future departments can also create additional profiles to target specific problem transactions Using Ledger Reviewer bookkeepers review the sampled transactions identifying errors and initiating appropriate corrections ENPETs check adjustments etc These errors are tracked and will be used for future confidence level and adjustments to profiles Managers can then generate reports to assess overall number of transactions vs error rates within a given profile This will help management determine if a profile needs adjustment or if ad
11. GLE HALL RESTROOM IMP FDC 0112 0 0 0 AAAAAA CHANCELLOR 20 16 BAAAAA ACADEMIC SENATE 8 8 4 8 CAAAAA VC RESOURCE MANAGEMENT amp PLANNING 6 107 92 8 8 DAAAAA VICE CHANCELLOR BUSINESS AFFAIRS FAAAAA VC STUDENT AFFAIRS GAAAAA VICE CHANCELLOR ACADEMIC AFFAIRS 10 952 669 HAAAAA VICE CHANCELLOR MARINE SCIENCE 7 330 242 HAOOOO DIRECTOR SCRIPPS INSTITUTION OF OCE 7 HBOOOO SHIPS OPERATIONS AND TECHNICAL SUPP 2 HC0000 INSTRUCTIONAL DEPARTMENT 1 HDOOOO RESEARCH DIVISIONS 5 HE0000 LABORATORIES 3 HFOO00 SPECIAL RESEARCH UNITS 5 HFo250 CENTER FOR COASTAL STUDIES 3 10 5 0 0 0 0 0 1 1 a m 1 720 607 578 521 416427 CENTER FOR COASTAL STUDIES 0248 416428 CTR FOR COAST STUDIES HYDRAU LAB 0248 416431 CENTER FOR COASTAL STUDIES 0248 436428 CTR FOR COASTAL STUDIES HYDRAULICL 0248 HF1000 OTHER ACTIVITIES HF1050 STUDENT AID HF 1100 CTR CLOUDS CHEMISTRY amp CLIMATE C4 ST a SS ooo eS SST _ EES oh 416410 CALIFORNIA ENV TECH CENTER 0210 HF0500 CORE ORGANIZATIONS eee oO oOo oO a o oooo WNN 19
12. as a sampled transaction A recharge facility has charged an incorrect index The backup received has index AAA1234 but index AAA1235 was charged in error Fund manager should code the error and ask recharge facility to make the correction Sales Tax A purchase order was processed by your department and includes tax The vendor is out of state and does not collect California sales tax Disbursements processed the payment but failed to pay use tax A purchase order was processed by your department and is non taxable Disbursements thought department coded PO incorrectly and paid sales use tax 16 6 27 2003 PayAuth A personal reimbursement was processed for an out of state purchase Preparer failed to add use tax to PayAuth Each of the examples requires a check adjustment via Disbursements The fund manager should assign the code and wait until the correction has been processed by Disbursement before marking it as ok EMF OPAFS Pend Transaction is an enpet under review by OPAFS OPAFS has processed a journal to close out your contract grant The fund is shared with another department and OPAFS uses the wrong Index fund combination to zero out the fund Fund manager should assign code and notify OPAFS that a correction is needed OPAS has processed an IDC adjustment journal and used the master index vs the sub index Department should notify OPAFS that a correction is required Justification An enpet that has
13. ditional targeted profiles are needed 6 27 2003 QUESTIONS AND ANSWERS 1 How do I begin the sampling process e The first step to initiate the sampling process is to create a profile A profile specifies the criteria for sampling operating ledger transactions The Controller s office has created a global profile for the campus rollout which all participating units will use e The next step begins after the ledgers have been closed Go to the Ledger Reviewer screen and identify the accounting period to be reviewed and enter information in one or more of the primary lookup fields Index fund organization program project account etc e In Ledger Reviewer you also have the opportunity to indicate under Transaction Samples Review if the sampled transactions should be shown by userid or by groupid All sampled transactions can be shown or only not reviewed and noncompliant transactions will be shown Indicate your preference by checking the appropriate box e Submit Form to view sampled transactions e Review all sampled transactions and indicate each transaction status with an ok or a problem code indicating an error e Correct errors by initiating appropriate correction ENPET check adjustments etc e Once errors are corrected return to original transaction and mark ok Are all transactions to be reviewed during the month end reconciliation process part of the sample For the
14. g the Cost Accounting Standards A21 and the sampling guidelines then staff will not be held accountable for disallowed transactions In our current shadow systems we reconcile ledger transactions and also generate reports What types of reporting mechanisms are available for us to utilize with the PWRuP process Sampled transactions will be reviewed using the Ledger Reviewer in Financial Link Reports may continue to be generated using your shadow systems or you may utilize the various reports that Financial Link currently offers i e Expanded Budget Summary Our goal is to use Financial Link for both reconciling and reporting Financial Link is missing several features that prevent us from being able to use it for reports Are these issues being addressed Yes During the pilot the PWRuP team will work with ACT and other central offices to resolve various issues with Financial Link In addition we will investigate providing additional training in advanced features of Financial Link There are also teams currently working on enhancements some are in progress while others are in place For example IDOCs capability to drill down on source documents such as invoices journals and adjustments are now available on Financial Link Other capabilities such as close out reports and encumbrance lifts are in progress How do we handle reconciliation for transactions that occur near the end of a grant s budget period The sampling program will cont
15. he first group identifier to change a problem code for a transaction becomes the owner of the transaction status This might happen when OPAFS is sampling ENPETs and has marked an ENPET for further review or this might happen if you use more than one group identifier within your department To change the problem code click on the History button That will let you know who changed the code You can contact that person directly to change the code Once I ve corrected an error should I update the problem code Yes once the error has been corrected you should change the status to ok If I have any questions whom should I contact On the PWRuP Rollout Project web page in Financial Link there is an email link if you would like to send any comments by email If you have technical questions about Ledger Reviewer please contact Lyle Kafader at x46087 or lkafader ucsd edu For policy questions please contact Debbie Rico at x22797 or drico ucsd edu 13 14 15 16 17 6 27 2003 What if errors in unsampled transactions are discovered during a grant close out or during an audit Will we be held responsible What should we do The sample review process assumes Business Office front end controls and reviews are in place If audits by federal or internal auditors identify items that were not part of the sample review are subsequently disallowed and if effective controls are in place and transactions are reviewed followin
16. hecked if the transaction has been reviewed and has been found compliant Clicking this box also changes the problem code status to ok 2 History Clicking on the H shows the annotation history for a transaction For samples from the global profile the owner of a transaction s status is the first group identifier to change the status of a transaction The history shows the user ID and email address of the person who changed the transaction s status 3 Problem Code One of eight codes showing the status of a transaction By default a transaction is Not Reviewed If a transaction is not ok it has an error that must be categorized by selecting one of the other problem codes Here are all the possible codes e OK The transaction has been reviewed and has been found compliant It is allowable allocable and reasonable with complete documentation If the ok check box is marked the problem code is automatically changed to ok e Index Fund The incorrect index or fund was used for the transaction The transaction is noncompliant and an ENPET may be required e Wrong Acct The incorrect account code was assigned to the transaction and an ENPET needs to be processed e Incomp Doc Documentation for the transaction was incomplete Backup needs to be requested or correct signatures obtained e Exp Date Expense occurred outside the project period and an ENPET needs to be processed e Key Entry A key entry error occurred
17. inue to identify transactions that should be reviewed Each department will make their own decision about whether to review additional transactions However we recommend for best practices that you continue to review 100 of the transactions within the 90 days of an award closing We recommend that you use the Account Code Summary report in Financial Link to review for unallowable account codes How do we handle reconciliation for transactions that occur after the end of the grant period Departments should reconcile all transactions that have occurred after the end of the grant process appropriate cost transfers and annotate in the comment field any information that is relevant to the award if the transaction is valid 1 e receipt date of product or services is within the award period 6 27 2003 18 What is the difference between the Ledger Annotator and the Ledger Reviewer The Ledger Reviewer contains all the features of Ledger Annotator with the addition of three fields that provide information about the status of a transaction check box status history and status code The Ledger Reviewer has the ability to select sampled transactions and allows users to set a status for the transaction The Ledger Reviewer will replace Ledger Annotator when this tool is rolled out to the campus 6 27 2003 LEDGER REVIEWER To begin ledger reconciliation Navigate your browser to Financial Link Select Tools from the Financial Link side bar to
18. kmarks Kk Netsite https pascal ucsd edu cgi bin flink_qa pl 1001893480 Node84947 Ledger Reviewer and ENPET UCSD For Jul 31 2001 0201 Closed Propared By ucalar Report Generated Sun Sep 30 2001 at 16 48 53 a Q SH v What s Related Organization 416430 HARINE PHYSICAL LABORATORY Financial Hgr FIN L HGR HARINE PHYSICAL LAB Retum to Query Form Save Entries ENPET 19 Colored font on a transaction indicates an ENPET has been done Check the Note for more information 4 5 i N Me toe Ae 16 17 18 on C o P E 9 10 11 12 13 14 15 Budget Financial lens 0 F t Enh Dept Allocation Revenue K Prob Code Vig k Ref No Index fecount Doc amp Seg Date Description Rule Doc Ref Award Expense Encumbrance 2 O ENPET ALL TRANSACTIONS IN THIS REPORT O ufindrunt E C OT O O MPoFEE 637200 P0478903 1 07 18 2001 DEEP OCEAN ENGINEERING F 5071001 PAYA 0 00 650 00 0 00 Mufoe of OP mptaest 637634 FRPORO 3 23 07 06 2001 SIO PORD NIERENBERG NETWORK RCHRG F612 0 00 39 65 0 00 M ufoK HC OO PF i mhs 636050 FRGRSO11 2275 07 16 2001 IMPRINTS CAMPUS COPIER F805 Doo 239 0 00 D ufer E C O mptazse 637163 24877570 1 07 03 2001 Integrated Office Systems PORD 24877570 ooo 000 884 73 Ou HCO OP merase 638000 72508626 1 07 11 2001 Micro Warehouse 250640101 INEI 28882111 0 00 88 93 0 00 D ufer E COM MO P i mpcazse 637250 P0481743 1 07 27 2001 JOSEPH MARTIN ENTD62801 PAYA 0 00
19. lock to his federal fund This normally should be charged to departmental funds or discretionary funds A staff member uses an expired index at the Storehouse This expense will need to be moved to a continuing contract grant or a discretionary fund A federal express expense is charged to your department but belongs to another department All these examples require a cost transfer Fund Manager should assign the error code and then process the appropriate cost transfer ENPET Once the cost transfer is approved at the highest level and appears in ledger annotator the error code should be changed to ok Wrong Account An item was purchased using a Bank One express card which defaults to account code 638018 The receipt has an annotation that this item belongs to an ongoing fabrication under account code 649610 A staff member purchases a computer at the Bookstore The item is recharged as sub 3 but should have been recharged in sub 4 The item is appropriate to this funding source but is capital equipment and requires a UCID number and no indirect cost IDC A travel voucher is submitted to the Travel office with account code 652902 foreign travel The voucher is processed under account code 652900 domestic Department establishes a PO for an equipment purchase Disbursements pays an invoice with shipping costs and codes the shipping as sub 4 The shipping costs should have been charged to 633000 15 6 27 2003 Inc
20. nsaction to enter into IFIS but attaches a warning tag to the transaction These transactions will appear on the FinancialLink Ledger Annotator report for the department s action If no action is taken the transaction remains in IFIS as an acceptable charge to the fund Departments will be responsible for assigning W account codes to a specific fund for use by IFIS in the W edit process For further information please visit the following website http www bfs ucsd edu emf proced Afv_act htm 18 6 27 2003 APPENDIX C Organization and Fund Hierarchies Organizations and funds are grouped into hierarchies based on their function or purpose Using a higher level of the hierarchy for an organization will help reduce the number of separate profiles that need to be created The Financial Analysis Office has a web site that shows the organization and fund hierarchies in a tree view The URL these hierarchies is Organization http www fao ucsd edu fao coa organization OrgFrame cfm Fund http www fao ucsd edu fao coa fund FundFrame cfm An example of an organization hierarchy is shown below Z IFIS Organization Hierarchy Microsoft Internet Explorer 1 http www fao ucsd edu fao coa organization orgtrame cfm Financial Analysis Office UCSI Target Org HF0500 CORE ORGANIZATIONS LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 4 LEVEL 5 LEVEL 6 LEVEL 7 LEVEL 3 LEVEL 9 Dept ChildrenDecendant Reporting Organizations 967219 BEA
21. omplete Doc A copy of the purchase order invoice is not on file If invoice is available via IDOCS you can print a copy for reconciliation purposes If invoice is not available via IDOCS you will need to request a copy from Disbursements and code item as incomplete A memo can be put in notes to annotate when invoice was requested You have a purchase order and invoice on file but the signed dated packing slip is missing Since departments are the office of record for packing slips this is required You can print the invoice from IDOCS and use as a packing slip Annotate when copy was sent for verification and assign code A recharge facility expense has occurred and you do not have backup This recharge is not available via IDOCS drill down You request backup assign code and annotate the date requested A recharge statement is on file but due to internal controls requires a PI signature or verification Fund manager should assign code and annotate date sent for verification Exp Date Expense occurred outside the project period and requires a cost transfer ENPET Subsequent expense You have PO liens still pending after you award has expired You have verified that all but one was received within the grant period The item not received within grant period requires a cost transfer ENPET Key Entry Disbursements has processed a payment and then an immediate credit which zeros out both entries One of the items has appeared
22. r a particular profile enter the profile name and then check the appropriate box below Otherwise leave blank Click a check box to select what sampled transactions you d like to view By default Show All Not Reviewed and Noncompliant Sampled Transactions for Global Profile will be checked By unchecking all the boxes will allow you to view both sampled and non sampled transactions In the Ledger Reviewer screen sampled transactions are highlighted in yellow Non sampled transactions are not highlighted Samples can be viewed by four main categories e Global Profile This profile is maintained by the Controller s office and represents the minimum number of required sampled transactions to be reviewed e User Id This selects transactions that have been sampled by targeted profiles created by your user id e Group Identifier This selects transactions that have been sampled by targeted profiles created by your group identifier 6 27 2003 e All Sampled Transactions This selects all transactions that have been sampled by the Global Profile as well as any existing targeted profiles Here is a description of each check box e Show All Not Reviewed and Noncompliant Sampled Transactions for Global Profile Returns all transactions sampled under the global profile that have not been reviewed or that have been marked with a problem code e Show All Sampled Transactions for Global Profile Returns all transactions sampled
23. ttee for Sponsored Project Excellence Achieved through Redesign SPEAR One of these projects is the validation of expenditure transactions account codes In our current environment many transactions with invalid account code fund combinations are not detected until the sponsored project is in the closing process This activity causes delays missed deadlines and expenditure of additional effort by department administration to track down the supporting documentation that may be several years old As a result UCSD experiences increased processing costs and the risk of federal sanctions that includes suspension from future federal awards in flagrant cases The Account Code Validation function alerts departments when specific expenditure types are questionable in terms of applicable regulations that apply to the fund being charged Once alerted departments can correct inappropriate expenditures The validation is comprised of two edit processes The first E edit at the point of entry blocks the expense transaction from entering the system The edit applies to those items that are unallowable for any federal and state projects e g fines penalties tobacco confection gifts and alcoholic beverages For these items an immediate correction to an acceptable funding source is required Extramural Funds is responsible for assigning and maintaining the E account codes used by IFIS in the validation process The second W edit allows an expense tra
24. w fao ucsd edu fao coa fund FundFrame cfm 6 27 2003 13 Sort Options Choose the order that columns will be sorted by from a drop down box 14 Navigation Buttons Submit Form Click to find the selected transactions Reset Form Clear all values from the form Find IFOP Find fund organization program combinations Find Project Find projects created under your group identifier Save to Disk Used to save selected transactions to a file rather than showing them on the screen 15 Transaction Check Boxes e Include Db Cr Indicators Shows debit or credit indicators next to transaction amounts e Include Report Dropdown List Includes a drop down box at the upper right of the screen that allows you to switch between Financial Link reports without re running the selection criteria e Check for Blank Indexes Find transactions without assigned indexes e Show Error amp Warning Transactions Only Show only those transactions that have account code errors or warnings as defined by OPAFS or the department e Include Report Heading Include a report heading with the selected transactions e Show Unchecked Transactions Only Show only those transactions that have not been checked off Item 7 on the screen of selected transactions e Show Checked Transactions Only Show only those transactions that have been checked off Item 7 on the screen of selected transactions 16 Transactions Samples Review Check Boxes To view transactions fo
25. wed amp NonCompliant Sampled Transactions For Global Profile O Show All Sampled Transactions For Global Profile Show Al Not Reviewed amp NonCompliant Sampled Transactions Show Al Sampled Transactions 16 I show Not Reviewed amp NonCompliant Sampled Transactions For My User Id Show Not Reviewed amp NonCompliant Sampled Transactions For My Group ID O Show Al Sampled Transactions For My User Id I show all Sampled Transactions For My Group ID Please note All queries are logged for audit review performance evaluation and problem resolution You must enter an one or more primary lookup fields Index Fund Organization or Document alone or in combination with other fields An option is the FIND IFOP button This button can be used to locate the Fund Organization and Program codes associated with a particular or partial Index These fields must be used in combination with a primary lookup field 6 27 2003 This screen is the same as the current Ledger Annotator with additional ways of selecting the transactions you d like to review Item 16 Description of Screen Items 1 Accounting Period Thru Enter the beginning and end date for the accounting period that you plan to review 2 Dept Ref No A number or code assigned by a department to track a transaction e g to record fabrications 3 Index An index code If an index is entered Fund Organization and Program can be left blank 4 Fund Any fund number or
26. y against a population and generate a random sample What is a Global Profile The global profile is established by the Office of the Controller and specifies the criteria to produce a sample The sample generated is the number of transactions that need to be reviewed to satisfy statistical requirements The global profile will select the following kinds of transactions a percentage of financial transactions less than 2500 in accounts 63xxxx 64xxxx 65xxxx and 100 of financial transactions greater than 2500 in accounts 63xxxx 64xxxx 65xxxx What do I do when I find an error in a transaction If an error has been identified in the sampled transaction indicate the appropriate problem code The following problem codes are available Index Fund Wrong Account Incomplete Documentation Expense date Key entry Incorrect sales use tax Vendor related errors Justification see Attachment I for examples of error codes and proper usage of codes What should I do if one of the error codes does not fit my problem Contact your MSO to discuss the error and the various problem code possibilities For further clarification contact Debbie Rico 858 822 2797 or drico ucsd edu I can t change the problem code for a transaction Why not If a drop down list does not appear and you cannot change the problem code for a transaction it means that another person with a different group identifier has already reviewed the transaction T
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