Kaizen: Electronic Application

3. Kaizen: Electronic Application • Lead: Becky • Why is there a limit on the number of p-cards issued in a department? Can there be more flexibility in the decision process. • Updating the application to include qualification criteria of P- card users (Potential P-card users know how to apply) • Can Cardholder agreement be electronic? • Number of signatures required and can they be electronic? • Can the application be readily available on University website • Team: Becky, Sherry G. Donna, Jeanine

4. Kaizen: Electronic Application 60 Day ReportTeam: Becky (lead), Sherry G., Donna, Jeanine Objective • Create electronic Procurement Card application and Cardholder agreement Progress • Kevin Murphy (HE IT) mocked up the ideal application Next Steps • Kevin Murphy to make a few small adjustments and work with Dan Dwyer to make a Cynergy doc • Waiting for University Counsel approval of wording on cardholder agreement Barriers • Unknown timeline for IT to implement instance

5. Kaizen: Electronic Library: Document Management • Lead: Andy • Can we add notes to SharePoint • Can we build in work flow for tracking charges that have not hit KFS • Integrating “I Want” with SharePoint • Naming conventions • Who has access/security • What is the cost associated to SharePoint • Team: Lisa Marsh, Sherry Guernsey, Jeannine, Andy, Gwen

6. Kaizen: Electronic Library 60 Day ReportTeam: Andy (lead), Gwen, Jeanine, Lisa, Sherry G. Objective • Electronic solution for transmitting pcard receipts to the BSC Progress • Mapped requirements with CALS IT • Modeled after Research BSC • CALS IT demo to Team on 6/22 • Programming continues

7. Kaizen: Electronic Library 60 Day Reportcontinued….

8. Kaizen: Electronic Library 60 Day Reportcontinued…

9. Kaizen: Electronic Library 60 Day Reportcontinued… Next Steps • Determine how long to keep original and SharePoint files (not 12 months!) • Plant Bio & BSC begins testing in ~1 week • Work out the kinks so that IT can duplicate the library • Roll out to Plant Sciences Cluster (3 more depts) • After rollout, explore additional enhancements Concerns • Optional or mandatory participation? “Our ultimate goal is to converge services and staffing structure to support both colleges in a similar way.” – Marge 12/18/12

10. Kaizen: Define Roles & Responsibilities • Team: Jeanine (Lead), Tara, Lisa, Andy, Sherry G. • Objectives from 3 Day Launch: • Who scans PCards receipts • Who retains original receipt - MOU • Who initiates GEC for auto releases • Who assigns the object code • Have the BSC integrate into the unit – attend staff meetings (orientation meeting) • Get support from upper management and Deans to empower decisions around suspensions and exceptions • Who has role of approval for the p-card transaction

11. Kaizen: Define Roles & Responsibilities 60 Day reportTeam: Jeanine (Lead), Tara, Lisa, Andy, Sherry G. Procurement Card Receipt Scanning Memorandum of Understanding CALS/CHE Business Service Center Department/Unit: Overview • In an effort to increase the efficiency of procurement card (p-card) activity, reduce the time of sending original documentation through campus/U.S. mail, and the duplication of effort spent on collecting and tracking whereabouts of documentation, both the department and the CALS/CHE BSC is agreeing to the terms of this MOU. This document is intended to compliment the university Buying Manual, section 300, P-Card, not duplicate it. • P-Card Holder Responsibilities • Submit sufficient documentary evidence immediately to designated scanner. • State business purpose so that it is understandable by an internal/external reviewer with no knowledge of the person or expense, and how it benefits the mission of the university/project. • If a meal purchase, include attendees, agenda/purpose of the meeting and identify any alcohol purchased. • P-Card Holder’s Supervisor Responsibility • Hold the p-card holder accountable for following university policy.

12. Kaizen: Define Roles & Responsibilities 60 Day reportContinued… Department Staff • Submit completed MOU, update as necessary. • Answer questions regarding allocability and allowability. Departments may have additional review procedures. • Assist with education of p-card holders on appropriate business purposes and account numbers. Scanner of Documentation into Electronic Library • Scan documentation immediately, ideally within 2 days of receiving the documentation. • Ensure receipt is a “true” original. If it is not the original receipt, note this fact on the document before scanning it, include an explanation of why the original is not being used. • Ensure scans are legible, neat, and orderly. Make illegible any confidential/sensitive data (cover before scanning), leaving the last four digits of any credit card number visible. If the originals are not legible, print on the document the pertinent information, i.e. vendor name, date, dollar amount, item description. • Stamp original documents “SCANNED” with a date to minimize the event of duplicate submission. • Use naming convention as designated by the electronic library: • Cardholder Last Name_Vendor_Amount_Date • Responsible for record retention of original documentation for twelve months from transaction date. *

13. Kaizen: Define Roles & Responsibilities 60 Day reportContinued… • BSC Responsibilities • Sign and retain MOU. Update as necessary, at least annually. • Provide access to the electronic library to appropriate people. • Verify sufficient documentation has been submitted, that the account and object code are proper and that all purchases comply with university policy and other restrictions applicable to the account. Confirm no sensitive or confidential data is included. • Confirm the purchase was made within the term dates of the accounts. • Release the transaction in KFS. • If a transaction is in violation of university policy, issue a warning email to the p-card holder, copy the supervisor, the admin manager and the PCDO delegate. On the third violation of university policy in a rolling 12 months, suspend the p-card for 60 days. The Senior Finance Group member will be copied on the suspension email notification. More than two instances of suspension in a rolling 12 months will result in permanent revocation of the p-card. • Use discretion when releasing transactions where the dollar amounts are not the same between the documentation provided and the actual charge. The p-card holder will be asked to confirm transactions beyond a reasonable amount. • Generate General Error Correction (GEC) if the p-card documentation is submitted to the electronic library after the transaction is auto released. The goal is to have all GECs processed by month end.

14. Kaizen: Define Roles & Responsibilities 60 Day reportContinued… Indicate one of the following: • ⃝ BSC will confirm there are appropriate funds in the account to cover the charge. • ⃝ Department/Unit will confirm there are appropriate funds in the account to cover the charge and initial the documentation indicating such. List of individuals that will be scanning documentation: Department/Unit Approval Date BSC Approval Date *Twelve month retention is under review; Aimee Turner speaking with Joanne DeStefano.

15. Kaizen: Compliance process • Lead: Sherry T. • Standardize one BSC set of compliance procedures that implements University best practices. • How can automated tracking be done to track auto’s replacing spreadsheet? • How many warnings before suspension? • Prohibited transactions – will we track them? How will we deal with them. • Team: Becky, Cherie, Norma, Sherry T., Susan

16. Kaizen: KFS Enhancements • Lead: Norma • Non-Compliance Notification – alert button • Auto and prohibited transactions • Identification of Auto’s in GL/Dashboard – ability to flag a true auto • Preparing KFS transactions in the BSC that do not have a receipt • Team: Cherie, Norma, Rich

17. Kaizen: Compliance Process & KFS Enhancements 60 day report • Team: Sherry T. (Lead), Becky, Cherie, Norma, Susan, Rich • Objective • Standardize one BSC set of compliance procedures that implements University best practices. • How can automated tracking be done to replace auto spreadsheet? • Non-compliance notifications prior to transactions going auto • Auto and prohibited transaction notifications • Rolling 12-month warning and suspension notifications

18. Kaizen: Compliance Process & KFS Enhancements 60 day report • Continued… Progress • Implementing ‘pilot’ of an automatic notification generated to PCard Holders with transactions that continue to appear in PCard Coordinators ‘action queue’ after 10 days of the system create date. • Working with KFS Payment Activity Dashboard in a ‘test’ environment - tracking report identifies PCard transactions over a 12-month rolling period that have ‘auto approved’. • Options available in KFS and Spendviz • ‘Notes’ field on PCDO eDocs – searchable field and exploring standard/consistent statements to identify: • ‘Prohibited’ PCard transactions, Warning 1, Warning 2 and Suspension

19. Kaizen: Compliance Process & KFS Enhancements 60 day report • Continued… • Team agreed that the number of warnings prior to suspension was reasonable, no updates to this process. • Team agreed that the warning and suspension notifications should continue to be manually generated and BSC’s will use the searchable ‘notes’ field within the original PCDO eDoc to identify: Warning 1, Warning 2, Suspension, Prohibited • BSC’s involved with lean process continue to collect metrics prior to implementation of new process and will continue to collect data after implementation and share report with anticipated decrease in auto transactions and number of times PCard Coordinators are reaching back to departments with questions regarding account #’s, business purpose, no receipt/back up and prohibited transactions.

20. Kaizen: Compliance Process & KFS Enhancements 60 day report • Continued… Next Steps • Continue working closely with DFA in order to: • Conduct successful ‘pilot’ for PCard Notifications • Anticipate at least one month to pilot • Discuss whether 10th day is the right day to generate notice • Finalize Payment Activity PCard reports • Need to make sure they meet BSC tracking needs • Plan for reports to be in production by 8/2/13 • Identify ‘Best Practice’ for consistent usage of detail added to eDoc ‘notes’ field • Barriers • Phased implementation of ‘pilot’ • Long term programming solution for automated notification • Looking for solution to automatically update when new PCard holders are added and removed

21. Kaizen: Education • Lead: Cherie • Of P-card users • What do you do with the card holder statement • What is sufficient P-Card documentation (Receipts, Packing slips) • Clearly define business Purpose • Split shipment separate receipt or 3rd party shipments • Create checklist • Purchase orientation and recertification • Identify all needed fields • Educate user on best practice of not leaving full credit card number on back-up documentation • Get consistent use of the “I Want” doc • Pcard is not a right it is a privilege • Rethink the pcard tutorial with the goal of helping customers be compliant • Department/BSC education • Team: Cherie, Nancy, Tara, Lisa, Donna, Amy, Robin

22. Kaizen: Define & Streamline Business Purposes • Lead: Donna • Obtain clarity around accurate use of business purpose • Standardize business purpose • How specific or general should the purpose be – broad is better • General use supplies that are used by multiple projects • Team: Nancy, Amy, Becky, Lisa, Robin, Donna

23. Kaizen: Education/Business Purpose 60 Day ReportTeam: Cherie, Donna (leads), Nancy, Tara, Lisa, Amy, Robin, Cathy, Becky Objective • Education of staff in roles associated with p-card processing. Progress • Have defined 4 key roles for p-card processing. 1) cardholder; 2) scanner; 3) dept. contact; 4) BSC p-card coordinator • Developed Powerpoint documents for each key role incorporating information from other Kaizens to capture each process. • Will use Powerpoint documents for orientation of new cardholders. • Shared copies of websites of the other BSC/FTCs in the group to review how to best deliver content of new procedures.

24. Kaizen: Education/Business Purpose 60 Day ReportContinued…. Progress – continued • Working on updating websites to make them more user friendly and guide users to what they need to meet the requirements of their role. • Using the iWant tool as a method for submitting requests for the BSC p-card. Next steps • Waiting for Kaizens to wrap up to add to education piece.

25. Kaizen: OSP Budget • Lead: Tara • Separate Budget and Budget Narrative from Award • Collaborate with Vet on their Kaizen • Team: Tara, Norma, Gwen, Sherry T.

26. Kaizen: OSP Budget 60 Day Reportcontinued… Next Steps • “Park” the Kaizen and add to a broader “compliance” Kaizen to be addressed at a later date.

27. Standard Operating ProceduresTeam: Tara (lead), Norma, Gwen, Sherry T. SOP The team will document each step of the p-card transaction process in a Best Practice/Standard Operating Procedure (SOP).  An outline of the SOP has been completed and will be finalized as work flow processes move from the pilot to implementation phase.