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Business Update

April 13, 2015

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Agenda

• Welcome

• Information Technology Services Update o New Password Manager – Identity Management System

o Google Migration

• Internal Audit Update o Audit Planning Process Overview

o FY16 & Future Plans

o HR L&D Training Opportunities

• Travel Update & Year End Reminders o Enhanced Travel Forms & Revised Manual Available

o Upcoming Training Opportunities

o Disbursements Year End Calendar

o Next 49er Mart Forum – 4/23

• Other Financial Services Reminders o Account Code Use

o Record Retention

o Annual Internal Control Self Assessment

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Information Technology Services Update

Beth Rugg Associate Vice Chancellor for Client Engagement

Information Technology Services

Ext. 7-6118

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New PW Manager - Spring 2015

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Google Migration – Different but GOOD

Why?

o Cloud-based solution - Google web interface

Enhanced disaster recovery preparedness

No downtime!

Mobile Devices

o Other Benefits Google Apps Education vs. Office 365 Evaluation

Migration Dates

o Google Calendar – May 22-24 (All at once)

o Google Email – Late June to Mid August (Phased approach)

Don’t clean-up Outlook Email! (2014 & back already copied)

google

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Google Migration - Resources

Face-to-Face Training

o Various locations across campus Find Yours!

Overview: “Getting to Know Google Calendar” – April 15 – May 13

Hands On: “Intro to Google Calendar Workshop” – April 22 – May 21

o Local IT

o Drop in support Atkins Service Desk

o Desktop support throughout migration

Online Resources – Search for your Question

o Migration FAQs

o Support FAQs

o IT Service Desk

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Google Calendar

What Outlook items will migrate to Google?

o Meetings/Appointments/Future & History

o Attendees

o Room Resources (official 5 letter abbreviation for each building)

Will need to monitor “migrated” meetings on room resources

o Calendar Sharing Permissions

Early adopters using Google

o May start receiving Google Calendar invites

Brief Demonstration

google

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Google Calendar

Shared Calendars

google

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Google Email

What Outlook items will migrate to Google? o Contacts/Distribution Lists

o Majority of messages migrate

o Folders > Labels (remove symbols)

What Outlook items will not migrate to Google? o Listservs

o Deleted mail, Rules & Filters, Notes

o PST files – working on solution

Additional Comments: o Outlook desktop mail client not reliable with Google

Google features optimized for web experience

o Mail merge options

google

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Questions?

Don’t forget to visit our

Website & Training Calendar

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Internal Audit Update

Tom York Director

Internal Audit

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Audit Planning Process Overview

Review current year plan for deferred or cancelled topics

Interview Cabinet members for input on initial draft plan

Present final plan to ACERM for approval

Adjust draft based on management inputs

We are here

Execute Approved Audit Plan

Create draft plan for interviews with Cabinet members

Present draft plan to Cabinet for approval

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FY16 and Future Audit Plans University Goal Planned Audit Topics

FY2016 FY2017 FY2018 FY2019

Goal 1

Deliver high-quality,

affordable, and

effective educational

programs that produce

educated and

responsible citizens

and a competitive

workforce.

Admin Review:

BCOB

Undergraduate

Admissions

Admin Review:

CHHS

Academic Services

Admin Review:

COED

Institutional

Research

Admin Review: CCI

Admin Review:

Library

Goal 2

Stimulate increased

research, creative

activities, and

community

engagement with a

focus on programs and

partnerships that

address the major

needs of the Charlotte

region.

Technology

Transfer

Effort Reporting

Early College High

School support

Data Use

Agreement

verifications

Biosafety

Centers and

Institutes

Vivarium

Operations

Data Use

Agreement

verifications

Goal 3

Improve the readiness

of human resources

and our academic,

administrative,

physical, and

technological

infrastructure to

efficiently and

responsibly operate an

urban research

university serving

35,000 students.

IT security-related

topic TBD

FM Design

Services

Human Resources

Internal Controls

Self-Assessment

IT security-related

topic TBD

Capital

Construction

Contracting

Business Continuity

Program

IT security-related

topic TBD

EHSO

-Lab Safety

-Fire Safety

-HAZMAT/EPA

PCI Compliance

Internal Controls

Self-Assessment

IT security-related

topic TBD

Information Privacy

-FERPA

-HIPAA

-GLBA

MCD Policy

Application

Reconciliations

Goal 4

Improve significantly

the base of

supplemental non-state

revenues for academic

programs and

administrative support,

physical facilities, and

student development,

particularly need-based

student financial aid.

Capital Campaign

gift management

procedures

Restricted Gifts and

Scholarships

Treasury Services –

gift accounting

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FY16 and Future Audit Plans University Goal FY2016 FY2017 FY2018 FY2019

Goal 5

Enhance opportunities

for learning and working

together in a socially and

culturally diverse world.

Office of

Education

Abroad

International

Programs Business

Office Operations

Goal 6

Enhance the quality of

campus life and the

collegiate experience for

students and other

members of the campus

community, both on

campus and in adjacent

University City

neighborhoods.

NCAA

compliance:

-Football

attendance

-Transition to

FBS football

SUAR operations

NCAA compliance:

-Football attendance

-Investigating Rules

Violations

Dean of Students

operations

Minors on Campus

NCAA compliance:

-Football attendance

-Rules Education

Building Access

Controls and 49er

Card

NCAA compliance:

-Football attendance

-Amateurism

Auxiliary Services

Contracts

-Food Service

-Bookstore

-Vending

-Repro Services

Goal 7

Build local, state, and

national awareness of

and respect for the work

of the University and its

people.

Alumni Affairs Web

Communications

and Social Media

Operational Basics

University processes

outside the strategic plan

that are foundational to

all university operations

Financial Aid

Student

Accounts

Travel/Complex

Payments Office

External QAR

Compliance

Program

University

Governance

Committees

Chancellor’s Office

Totals

In-house 14 15 15 14

Outsourced

Space for unplanned 4 3 3 4

By Division

PROVOST 4 3 4 2

VCBA 4 4 3 5

VCSA 1 1

VCUA 1 1 1

VCIT 1 1 1 1

VCRED 1 2 1 2

ATHLETICS 2 2 2 2

VCLA 1

other 3 1

14 15 15 14

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HR Learning and Development Training Opportunities

Fraud Awareness Tue 11/3/2015, 9:00 – 11:00 am (Diana Hill and Julie Earls) Participants will be able to: Define fraud Identify fraudulent activities Identify appropriate internal controls that deter fraud Take appropriate steps when fraud is suspected

Internal Auditing Issues Wed 7/22/2015 and Wed 10/28/2015, 9:00 am – 11:00 am (Tara Pritchett and Raheel Qureshi) This informative session provides an overview of Internal Audit operations and lessons learned from recent audit projects that will greatly reduce your anxiety during an unexpected visit from an Internal Auditor.

Conducting a Controls Self-Assessment Tue 10/13/2015, 2:00 – 4:00 PM (Tara Pritchett and Tom York) This workshop will present what a CSA is and walk through the CSA process with a model department. We will use the Control Self-Assessment guide found on the internal audit website.

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Travel Update & Year End Reminders

John Ives Disbursements Manager

Controller’s Office

Ext. 7-8619

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Travel Update

• Enhanced Travel Forms and revised Travel Manual

• Financial Services ‘Recent News’ – posted 4/2

• A presentation of form changes is available to

prepare you for the ‘Enhanced Travel Forms:

Training & Questions’ sessions.

What?

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Travel Update

• Travel Forms

• More user friendly

• Improve efficiency & accuracy

• Prepare for future automated solutions

• Travel Manual

• Align guidance with state requirements

• Clarify existing policy & procedures

• Ease navigation (e.g. quick reference guides)

Why?

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Travel Update

• New Travel Forms are not mandatory at this time

• Departments may use the new forms or continue

using the old forms

• Send suggestions and comments on the new forms to

TravelComments@uncc.edu

• Once sufficient feedback is received, a mandatory

transition date will be communicated

When?

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Travel Update

• Meet with Dept. Head, Business Officers, and Staff

to discuss adoption timelines for your department.

• Attend training sessions. No registration required!

Next

Steps?

Event Date Event Time Event Location

Weds., April 15, 2015

10a-11:30a

SAC Salon B & C

Thurs., April 30, 2015

10a-11:30a

CHHS, Rm 147

Enhanced Travel Forms: Training & Questions Sessions

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Year End Reminders:

Disbursements Calendar Goods or services and

invoice must be

received by cut-off

date in order to be

paid in FY15

P-Card Purchases: Must be posted in BOA

Works by June 5th to be

included in FY15

Questions/Assistance:

Jerri Painter, Invoice

Processing Supervisor

jpainter@uncc.edu

John Ives, Disbursements

Manager jives3@uncc.edu

google

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Year End Reminders:

Topic: Corralling Your Orders in 49er Mart

Date: Thursday, April 23

Time: 2:00-3:00PM

Place: CHHS – Room 147

Working Smart in …

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Financial Services Reminders

Alicia Bartosch Business Process Analyst

Controller’s Office

Ext. 7-0950

Phil Maher Interim Compliance Manager

Controller’s Office

Ext. 7-5819

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Account Code Use:

Supports Better Decision Making

Controls the activity or balance reported on our Financial Statements:

Operating Ledger (Activity) Revenues = 1XXXXX

Expenses = 9XXXXX

Transfers In/Out = 8XXXXX

General Ledger (Balances) Assets = G1XXXX

Liabilities = G2XXXX

Net Position = G3XXXX

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Account Code Use:

Supplies & Materials: Common Areas of Confusion

Category (What’s being Purchased?)

Purpose (What’s the intended use?)

Account Code

Supplies & Materials (Products)

Supplies:

Office Laboratory Educational Non-Educational Snacks/Beverages (No preparation)

Alcohol Materials:

Food for Resale (Candy for sale)

931100 930251 930250 932300, Miscellaneous 930200, Food Supplies 930210, Un-allowed F&A 931550

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Account Code Use:

Supplies & Materials: IT-related FAQs Differentiate between computer-related (equipment & software) Department purchases:

Q: What if I’m

purchasing software

used exclusively in the

classroom….?

A: Ask What, not Why

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Account Code Use:

Supplies & Materials: IT-related FAQs Computer-related (equipment & software) purchases used mainly by ITS or with their guidance/approval:

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Account Code Use:

Services: Common Areas of Confusion

Category (What’s being Purchased?)

Purpose (What type & intended use?)

Account Code

Services

Contracted:

Catering (Prepared food)

Video taping & transmitting Other

Administrative: Meals (Non-travel or excess subsistence)

Passport & VISA Processing fees Copyright & Publishing fees

Signage: Advertising Public Relations Printing/Binding/Duplicating

Travel: Parking Tokens

Current: Other

922150, Spec Food Event 928130 920700 951360 953100, Other 953100, Other 928380, 951410, 928170, 925440, Non-Employee Transportation 951760

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Account Code Use:

Services: IT-related FAQs

Rental of Software or Software Licenses: Depends on the use…

“Software as a Service” usually via web-based interface (e.g. subscriptions):

Internet use:

#928110 Mobile Communication Device Allowances

#928140 Wi-Fi, Miscellaneous Internet

#928141 Telecommuting Internet Reimbursement

#925220 Subsistence-Other/Tips/Etc. (In-State Travel Status)

#925380 Subsistence-Other/Tips/Etc. (Out of-State Travel Status)

#926170 Subsistence-Other/Tips/Etc. (Out of Country Travel Status)

Maintenance Agreements:

#927320 Maint Contract-PC/Printer Equip

Q: What about bundle purchases…?

A:You may use multiple accounts to

record items listed on the

quote/invoice.

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Category (What’s being Purchased?)

Purpose (What type &/or intended use?)

Account Code

Services

IT-related: Application Development IT Project Mgmt. & Analysis Temp Contractor Labor Internal Services for Resale Authentication & Authorization Managed Server Managed WAN Electronic Managed Desktop Online Processing Fee

920060 920070 920770 928450 928460 928470 928480 928500 928510 952170

Account Code Use:

Services: IT-related (added Dec 2013)

Questions/Assistance: Kim Seamans, Senior Financial Reporting Accountant kseamans@uncc.edu

Reference: Expense Account Code List, Descriptions, & FAQs

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Records Retention

Authoritative Guidance: UNC-GA Schedule (adopted 2007)

NC State Agency Schedule (adopted 2009)

NC G.S. §121 & 132

UNC Charlotte Policies:

101.8 (personnel)

311 (security)

402 (FERPA)

605.2 (HIPAA)

605.3 (University Records)

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Financial Records Retention

Financial Services is responsible for the majority of our financial records retention.

* if no litigation, claim, audit, or other official action initiated.

Items Disposition Guidance

Leave Requests Original: After 5 years*

Reference: When ref. value ends

G.S. 126-22, G.S. 126-23 &

G.S. 126-24 regarding

confidentiality of records.

Time Sheets After 6 years and when posted to

applicable retirement plan

UNCC Human Resources

PIM 54

Telephone Billings Original: After 3 closed fiscal years*

Reference: After 1 year.

Mail transmittal slips After 1 year.

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Departmental Personnel Records Retention

* if no litigation, claim, audit, or other official action initiated.

Items Disposition Guidance

Performance Evaluation and

Management

Original: Retained in HRMS

Reference: After 3 years*

Personnel (Active) File Transfer to HR for official personnel file 1

year after employee terminates service

G.S. 126-22,126-23, &

126-24

Personnel Action Forms After 1 year

Personnel Correspondence

File

After 3 years

Student Assistants/ Work-

Study Students

5 years after student terminates

employment

G.S. 126-22, G.S. 126-

23, G.S. 126-24, G.S.

126-29 & G.S. 132-1.1

Training Programs

Conferences, and

Workshops – Attended

Training Records File

Original: Transfer to Personnel (Active)

File upon completion of training

Reference: When reference value ends

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Internal Control Self-Assessment:

Over Financial Records What?

o A proactive management tool for Departments/Colleges to use to assess the

adequacy of internal controls within their area.

o Joint effort between the UNC-GA Finance Improvement & Transformation (FIT)

Initiative and NC Office of the State Controller (OSC)

Why? o Provides reasonable assurance of the reliability of UNC Charlotte financial

statements

o Shows effective & efficient use of the University’s resources

(e.g. assets, people, money, and reputation)

o Compliance with North Carolina laws and regulations

o Helps identify potential opportunities to improve processes

When? o Conducted annually between April – May

o Final report due to UNC-GA & OSC by July 31

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THANK YOU!!

Next Meeting

Tuesday, June 16, 2015

Joint effort between

Academic Affairs & Business Affairs