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Post-Audit Notification (PAN)

Post-Audit Notification (PAN). ASAP to PAN – What’s it all about?. UCLA Corporate Financial Services with UCLA Audit & Advisory Services. Where we are:. ASAP (Application System Authorization Process): the current email notification of administrative system transactions

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Post-Audit Notification (PAN)

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  1. Post-Audit Notification (PAN) ASAP to PAN – What’s it all about? UCLA Corporate Financial Services with UCLA Audit & Advisory Services

  2. Where we are: • ASAP (Application System Authorization Process): the current email notification of administrative system transactions • DACSS (Distributed Administrative Computing Security System): the system whereby departments/units [Department Security Administrators (DSAs)] are able to set up and maintain their system access security tables under the direction of the Chief Administrative Officer (CAO)

  3. What’s changing? • ASAP is being replaced by web-based PAN (Post-Audit Notification) which was developed at UCOP for system-wide use in conjunction with the Personnel/Payroll System (PPP) • UCLA has expanded the PAN system to interface with the other central administrative applications (BruinBuy/PAC, TOF, DDF, Express, Open Provision)

  4. So what’s new?PAN Enhancement Highlights • Reviewers will receive up to two emails a day ifPANs have been generated for their review. • Mid-morning and Mid-afternoon • The email will contain a link to a secured website. • Reviewers will input their OASIS, BOL, or QDB login ID and password. • Reviewers may also log in to the website at any time during the day to review transactions – no need to wait for the notifying email.

  5. Principles of Financial Accountability Principles of Financial Management UCLA Financial Policy November 30, 1996 Principles of Data Integrity Principles of Regulatory Compliance What does this mean for Reviewers? Http://www.accounting.ucla.edu/

  6. A Reviewer must • review all transactions within two working days of receipt; • inspect each transaction to ensure the Preparer properly fulfilled his or her responsibilities; • ensure that each transaction complies with policy, regulatory, and other requirements;

  7. A Reviewer must • resolve all questions that arise concerning a transaction, or ensure the transaction is reversed until the questions are resolved;

  8. A Reviewer must • if he or she will be absent from work for two or more business days, • 1) notify the DSA so another Reviewer can be assigned (if needed to ensure that there is no interruption in control); and • 2) ensure that alternate responsibility for reviewing transactions has been effectively communicated and documented. (This can most easily be done by email notifications to the CAO and DSA. Otherwise, Reviewers will be held accountable for transactions processed during absences.)

  9. Reminders • All staff MUST receive training before being granted access to online systems. • CAOs are responsible for ensuring that all preparers and reviewers are “qualified” and have received proper training. • UCLA policy prohibits the sharing of passwords.

  10. What’s coming later? • DACSS will be modified later this fiscal year to allow Reviewers to be designated as mandatory or non-mandatory. • Mandatory Reviewers must review all transactions within two working days of receipt. • Non-mandatory Reviewers will not be required to review transactions within the two working day period.

  11. What’s coming later? • All current Reviewers will become Mandatory Reviewers in the DACSS tables when DACSS is modified. • CAOs must determine which Reviewers should be designated as non-mandatory and direct their DSAs to update the DACSS tables accordingly.

  12. Points to Ponder • Everyone involved with a transaction has a responsibility to see that it is accurately and correctly reflected in University records and appropriate to the University and fund source in keeping with applicable prevailing regulations and policies and procedures.

  13. Accessing PAN • Click the link within the email notice, or • Go directly to the PAN system via the Corporate Financial Services Website. Remember that you will not have to wait for the email notice to access PAN on the web.

  14. Accessing PAN

  15. PAN Main Menu

  16. NILE, INDY NILE, INDY U PAN Inbox Click on an underlined heading to sort by that column

  17. Status/Type? Clicking on the “?” will open a window with definitions of “Status” and “Type” codes

  18. Personnel/Payroll Notices • Personnel/Payroll Doc Type Choices • EDB Update • Time Reporting • EDB Update & Time Reporting

  19. EDB Update PAN

  20. New Features of the EDB (Personnel) PAN • Standardization of content • Translation of codes into text entries • Highlighting of changes in color • Hyperlinks to allow for easy navigation of the PAN • Allows comments to be added to the permanent record of the transaction • Information regarding the review status of each PAN

  21. NILE, INDY NILE, INDY U PAN Inbox: Select an EDB PAN to Review Select the transaction to review by clicking on the Doc ID

  22. EDB PAN - Header User Info in this box Preparer: JOHN SMITH Phone: (310) 794-8000 Email:JSMIT@FINANCE.UCLA.EDU This hyperlink lets users know that they are in their Inbox

  23. EDB PAN - Header Preparer: JOHN SMITH Phone: (310) 794-8000 Email:JSMIT@FINANCE.UCLA.EDU Navigational hyperlinks to move quickly down through the PAN details

  24. EDB PAN - Comments Section Added by Preparer at the time of the transaction JOHN SMITH JOHN SMITH Post-transaction comments added by a Reviewer or other person with Audit File access

  25. EDB PAN - General Information • Codes are followed by text definitions • Red indicates fields where information has been added or changed • Changes are followed by previous information in <<black>>

  26. EDB PAN – Appointments and Distributions • This is an example of appointment and distribution information for a New • Hire – adding information to the EDB for the first time • Lines where something has been added have a “+” sign in the left margin • Codes are followed by text definitions • Red indicates fields where information has been added or changed • Changes are followed by previous information in <<black>>

  27. EDB PAN – Change in Distribution Sample • This example reflects a salary rate change for an existing employee • Note the “+” and “-” signs in the left margin • Note the change in the derived Annual Rate in the Appointment section • When information has been replaced in a distribution, the old information • will appear in the line below and “-” sign will appear in the left margin

  28. EDB PAN – List of Reviewer/Receivers Note “Type” of Reviewer or Receiver Status of PAN review or forwarding is reflected Name Email Phone Type Status PPLH0 LHARRIS@FINANCE.UCLA.EDU(310) 825-0000 Added by Preparer Read PAUL FARRAGUT Forwarded by PPLH0 Sent JOHN SMITH JSMITH@AIS.UCLA.EDU (310) 206-0000 Non-Mandatory Reviewer Unread ARTHUR WEST AWEST@FINANCE.UCLA.EDU (310) 825-0001 Mandatory Reviewer Read Email addresses are included as hyperlinks for Reviewers generated by the original transaction

  29. PAN –Adding Comments Click on the buttons on the right to Save, Reset, or Save and Return to Previous Screen Type comments you wish to add to the permanent record • Comments: • May be added to any PAN • Become part of the permanent PAN record • You must “Save” before forwarding (or comments will not be captured)

  30. PAN – Forwarding Copies of PAN • Forwarding may be accomplished by entering a LoginID or email • address, or by clicking on the Directory icon to bring up a Search window. • PANs may only be forwarded to email addresses with: ucla.edu, ucop.edu, or ucmerced.edu. • Forwarding a PAN will generate an email to the addressee • containing the details of the PAN. • The PAN will record the addressee and who forwarded the copy. • The “Status” of a forwarded message will be reflected as “Sent.”

  31. PAN Directory Search Search by: Name User ID Dept • Clicking the Directory icon brings up this Search screen

  32. Time Reporting PAN

  33. Time Reporting PAN Note different section title in hyperlinks Preparer:JOHN SMITH Phone:(310) 794-8000 Email:JSMIT@FINANCE.UCLA.EDU

  34. Time Reporting PAN Preparer:JOHN SMITH Phone:(310) 794-8000 Email:JSMIT@FINANCE.UCLA.EDU PPJS0 • No use of color (red) or symbols (“+”, “-”) to indicate changes

  35. Time Reporting PAN PPLH0 LHARRIS@FINANCE.UCLA.EDU(310) 825-0000 Added by Preparer Unread PAUL FARRAGUT Forwarded by PPLH0 Sent ARTHUR WEST AWEST@FINANCE.UCLA.EDU (310) 825-0001 Mandatory Reviewer Read The List of Reviewer/Receivers section is the same is for the EDB PAN.

  36. Reviewer “Inbox” Navigation

  37. NILE, INDY NILE, INDY U PAN Inbox Click here to open the PAN selection criteria window

  38. Inbox Selection Criteria Links the Reviewer back to the Inbox Choose a date range Reviewer may choose to review PANs from a particular Preparer • Allows the Reviewer to determine which PANs they wish to view.

  39. Inbox Selection Criteria Screen - continued

  40. Inbox Selection Criteria Screen - continued

  41. Selection Criteria Displayed Selection criteria NILE, INDY NILE, INDY

  42. BruinBuy/PAC PAN

  43. BruinBuy/PAC PAN Preparer: JOHN JONES Phone: (310) 825-0000 Email: JJONES@UCLA.EDU ***** INDY NILEThese are the disks to sore BruinBuy Reports 2004-10-19 08:29:28 ***** INDY NILE These are the disks to store the BruinBuy/PAC Reports 2004-10-19 08:29:49 ***** BERTHA D BLUES Testing Comments Section 2004-10-19 14:28:39 ***** PAUL FARRAGUT Testing Comments Section size 2004-10-20 08:51:10 3275 Q FB009 00 987654 321P JONES, JOHN FIRST CHICAGO CASH MANAGE PO BOX 12345 JOE BRUIN LLJJ0/JONES, JOHN 7040000 I N

  44. ADAM SMITH ASMITH@UCLA.EDU (310) 825-0000 Mandatory Reviewer UnreadJOHN M KEYNES JKEYNES@UCLA.EDU(310) 825-0001 Mandatory Reviewer Read BruinBuy/PAC PAN Preparer: JOHN JONES Phone: (310) 825-0000 Email: JJONES@UCLA.EDU 3275 Q FB009 00 987654 321P JONES, JOHN FIRST CHICAGO CASH MANAGE PO BOX 12345 JOE BRUIN LLJJ0/JONES, JOHN 7040000 I N

  45. ADAM SMITH ASMITH@UCLA.EDU (310) 825-0000 Mandatory Reviewer UnreadJOHN M KEYNES JKEYNES@UCLA.EDU(310) 825-0001 Mandatory Reviewer Read BruinBuy/PAC PAN Preparer: JOHN JONES Phone: (310) 825-0000 Email: JJONES@UCLA.EDU JONES, JOHN FIRST CHICAGO CASH MANAGE PO BOX 12345 JOE BRUIN LLJJ0/JONES, JOHN 7040000 I N

  46. Travel Express PAN

  47. Travel Express PAN JOHN JONES (310) 825-0000 JJONES@UCLA.EDU ADAM SMITH ASMITH@UCLA.EDU (310) 825-0000 Mandatory Reviewer UnreadJOHN M KEYNES JKEYNES@UCLA.EDU(310) 825-0001 Mandatory Reviewer Read

  48. Transfer of Funds (TOF) PAN

  49. Transfer of Funds (TOF) • New web based application will be rolled out to campus in December 2004. • Preparer and Reviewer access will remain as established in the DACSS table. • The DACSS functions for TOF remains the same. • Training will be offered for the new application in December and January. • Transactions are still real time. • The new web TOF application will use PAN for transaction notifications to Reviewers.

  50. Financial Systems Menu Web Transfer of Funds PAN

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