sco/sto release control end-user role description handbook · 4/26/2017 · the sco/sto control end...

SCO/STO Release Control End-User Role Description

Handbook

SCO/STO Release

Control End-User Role Descript ion Handbook

SCO/STO Release FI$Cal End-User Role Description Handbook

The SCO/STO Control End-User Role Description Handbook describes the summarized control end-user roles related to FI$Cal business processes implemented for and used by SCO and STO as part of the 2017 Release.

Revision History

Table of Contents 1. Introduction ......................................................................................................... 1

2. Accounts Payable (AP) ....................................................................................... 2 2.1 Accounts Payable Process Overview ................................................................. 2 2.2 Accounts Payable Roles .................................................................................... 2

Date Revision Change 01/10/2017 1.00 Initial SCO/STO Release version 02/01/2017 1.01 Added SCO Warrant Status Approver role (AP)

Added SCO Warrant Payee Update Approver role (AP) 02/24/2017 1.02 Updated Role Responsibilities for SCO GL Configuration Maintainer

(GL) and SCO GL Journal Processor (GL) 04/14/2017 1.03 Added SCO Loan Approver role (LA)

Added SCO Loan Processor role (LA) Added SCO Fund Distribution Processor role (PC) Added SCO PC Processor role (PC) Added SCO Expedite Configuration Maintainer (AT) Added SCO AT Workflow Administrator (AT) Added SCO Non-FI$Cal Approver (AP) Added STO Investment Pool Viewer (CM) Added SCO Budget Overrider (GL) Updated Role Description and Responsibilities for SCO Appropriation Approver (GL) Renamed SCO DAR AP Approver (AP) to SCO AP Direct Transfer Approver (AP)

04/17/2017 1.04 Updated Role Description and Responsibilities for SCO Accounting Maintainer, SCO AP Batch Processor (AP), SCO AP Payment Processor, SCO AP Processor, SCO Warrant Payment Maintainer Updated Role Description and Responsibilities for SCO GL Journal Approver (GL) Renamed SCO DAR Reporter to SCO SARD Reporter

04/19/2017 1.05 Added SCO AP Payroll Approver role (AP) Added SCO AP Void Processor role (AP) Added SCO AP Void Approver role (AP) Added SCO AP Replacement Warrant Approver role (AP)

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3. Accounts Receivable (AR) .................................................................................. 8 3.1 Accounts Receivable Process Overview ............................................................ 8 3.2 Accounts Receivable Roles ............................................................................... 9

4. Bond Accounting (BA) ...................................................................................... 11 4.1 Bond Accounting Process Overview ................................................................ 11 4.2 Bond Accounting Roles .................................................................................... 11

5. Cash Management (CM) .................................................................................... 12 5.1 Cash Management Process Overview ............................................................. 12 5.2 Cash Management Roles ................................................................................. 13

6. General Ledger (GL) .......................................................................................... 19 6.1 General Ledger Process Overview .................................................................. 19 6.2 General Ledger Roles ...................................................................................... 19

7. Loan Accounting (LA) ....................................................................................... 27 7.1 Loan Accounting Process Overview ................................................................. 27 7.2 Loan Accounting Roles .................................................................................... 27

8. Project Costing (PC) .......................................................................................... 28 8.1 Project Costing Process Overview ................................................................... 28 8.2 Project Costing Roles ....................................................................................... 28

9. Cross-Module Reporting ................................................................................... 29 9.1 Cross-Module Reporting Roles ........................................................................ 29

10. Pre-Payment Audit ............................................................................................ 32 10.1 Pre-Payment Audit Process Overview ............................................................. 32 10.2 Pre-Payment Audit Roles ................................................................................. 32

Appendix ...................................................................................................................... 33 Appendix A – Role to Business Process Matrix ......................................................... 33

Accounts Payable ............................................................................................................................... 33 Accounts Receivable ........................................................................................................................... 34 Bond Accounting ................................................................................................................................. 35 Cash Management .............................................................................................................................. 36 General Ledger ................................................................................................................................... 36 Loan Accounting ................................................................................................................................. 37 Project Costing .................................................................................................................................... 38 Cross-Module Reporting ..................................................................................................................... 38 Pre-Payment Audit .............................................................................................................................. 39

Appendix C – Glossary .............................................................................................. 40

List of Tables Table 1: Accounts Payable Roles ................................................................................... 3

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Table 2: Accounts Receivable Roles ............................................................................. 10 Table 3: Bond Accounting Roles ................................................................................... 12 Table 4: Cash Management Roles ................................................................................ 13 Table 5: General Ledger Roles ..................................................................................... 20 Table 6: Loan Accounting Roles ................................................................................... 27 Table 7: Project Costing Roles ...................................................................................... 29 Table 8: Cross-Module Reporting Roles ....................................................................... 30 Table 9: Pre-Payment Audit Roles ................................................................................ 33 Table 10: Accounts Payable End-User Role to Business Process Map ........................ 34 Table 12: Billing/Accounts Receivable End-User Role to Business Process Map ......... 35 Table 13: Bond Accounting End-User Role to Business Process Map ......................... 35 Table 14: Cash Management End-User Role to Business Process Map ...................... 36 Table 15: General Ledger End-User Role to Business Process Map ............................ 37 Table 16: Loan Accounting End-User Role to Business Process Map .......................... 37 Table 17: Project Costing End-User Role to Business Process Map ............................ 38 Table 18: Cross Module Reporting End-User Role to Business Process Map .............. 39 Table 1: Pre-Payment Audit FI$Cal End-User Role to Business Process Map ............. 39

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1. Introduction The SCO/STO Release FI$Cal End-User Role Description Handbook describes the new FI$Cal end-user roles related to the new FI$Cal business processes implemented with 2017 SCO/STO Release. The FI$Cal end-user roles are organized by FI$Cal business process area. For the 2017 SCO/STO Release, the business process areas are:

• Accounts Payable (AP)

• Billing/Accounts Receivable (AR)

• Bond Accounting (BA)

• Cash Management

• General Ledger

• Loan Accounting For additional information on the SCO/STO Release business processes and functionality, refer to the 2017 SCO/STO Release Business Process Workshop materials. These materials are available from your Department Liaison and posted to the FI$Cal website at http://fiscal.ca.gov/wave_3_resources/index.html. This FI$Cal End-User Role Description Handbook is designed to assist SCO and STO in completing role-mapping tasks and maintaining role assignments. Role mapping is the process of mapping end users to the appropriate FI$Cal end-user roles required to complete their daily work activities for FI$Cal. The Handbook helps departments understand the FI$Cal access that each role provides. For each FI$Cal end-user role, this Handbook provides:

• Role name

• Description of role

• List of role responsibilities

• List of related FI$Cal business processes

• Description of how the role works with other roles, and where applicable, specifically categorized as the following:

Automatically Assigned Roles Separation of Duty Requirements Hard Stop Requirements Suggested Role Combinations Required Role Combinations

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Note: For definitions, see Appendix C Glossary.

2. Accounts Payable (AP)

2.1 Accounts Payable Process Overview Accounts Payable is the process of vouchering and paying money owed to vendors and employees. This includes the sub-processes of Vendors, Vouchers, Payments, and 1099 Withholding. The purpose of the Vendor process is to create a single statewide Vendor Management File (VMF) that records vendors, bidders, and SB/DVBE certification data. Unique vendor IDs are created centrally in FI$Cal for each vendor and shared by all departments. Each vendor is validated by FI$Cal and approved centrally to prevent duplicate entry. Prior to using a vendor to source a requisition or create a PO, a vendor requires approval. The Voucher process encompasses activities required to capture invoice data; generate a voucher; and attach related documents, approvals, budget checking, and voucher posting. Matching also occurs in the Voucher process when POs and receipts are matched with the voucher, thereby integrating the voucher to the Purchasing business process. The Payment process for FI$Cal vouchers begins with the need to generate a payment from the approved voucher and includes activities needed to capture invoice-specific information. It ends when payment(s) are generated for the approved voucher. The Payment process for Legacy claim payments encompass capturing payment detail from Legacy systems as well as generating payments for applicable Legacy claims. With the SCO/STO release, warrant specific post issuance actions can be performed on recorded claim/warrant payments. The 1099 Withholding process uses vendor payment data and creates withholding detail records used to report to the Internal Revenue Service (IRS). Vendor Payment Transactions that are flagged for 1099 reporting are posted into the withholding tables and used to create calendar year reports in FI$Cal.

2.2 Accounts Payable Roles This section provides details for each FI$Cal end-user role related to the Accounts Payable processes for the SCO/STO Release, including:

• Role Name

• Role Description

• Related Business Process

• Role Responsibilities

• Relationships with Other Roles

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Table 1: Accounts Payable Roles

Role Name Role Description Related

Business Processes

Role Responsibilities

Relationships with Other Roles

SCO Accounting Maintainer

The SCO DAR end user who is responsible for - configuring the Fund Details page to set up escheatment ChartFields - maintaining registered warrants/regular warrants and assigning redemption percentage and date - setting up the payroll business month account.

• Process Payments

• Maintain SCO Accounting Configurations to Derive Fund Information for Processing Escheatment

• Override System Identification of FI$Cal Issued Registered Warrants

• Assign Redemption Percentage/ Date for All Identified Registered Warrants

• Maintain Business Month Account Funding configuration for Payroll

• Enters and updates the business month payroll configuration items maintained by SCO

Suggested Role Combinations: • Can be combined with other

roles that have access to maintain fund code setup

SCO AP Batch Processor

The SCO end user who is responsible for - running inbound payment interfaces, outbound warrant print files, and SCO outbound interfaces - reviewing and maintaining electronic payments.


• Run SCO Inbound and Outbound Interfaces on an Ad Hoc Basis

• Run Payment Processing Processes on an Ad Hoc Basis

• Maintain Returned Electronic Payments

• N/A

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Business Processes



SCO AP Direct Transfer Approver

The SCO end user who is responsible for approving direct transfers vouchers.

• Create and Maintain Invoices

• View Vendor Information, History, and Conversations

• Review Voucher

• Approve Voucher

• Pushback Voucher

• Deny Voucher • Send

Notifications

• Reviews and approves vouchers created by the Central and Department Vendor Processor

• Reviews and approves vouchers after the Department AP Approver 2

Automatically Assigned Roles: • Includes additional access

associated with the PO View Only, Vendor Viewer, GL Viewer, Appropriation Viewer, AP Ad Hoc Approver, Department P-Card Reviewer, and Operating Budget Viewer roles

Suggested Role Combinations: • Can be combined with

Confidential User to add/update confidential accounts payable information

SCO AP Payment Processor

The SCO who is responsible for - warrant inquiry, warrant post issuance actions, CD 173 generation, and payment posting - post issuance changes to payee name and payee address.


• View Warrants • Perform Post

Issuance on Warrants

• Generate CD173 for Returned Warrants

• Post Warrants to Generate Accounting Entries

• Update Payee Name and/or Payee Address While Performing Post-Issuance Actions

N/A

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Business Processes



SCO AP Payroll Approver

The SCO end user who is responsible for approving Warrants with Payroll Post Issuance Actions applied.


• Review Post Issuance Actions

• Approve Post Issuance Actions

N/A

SCO AP Payroll Processor

The SCO end user who is responsible for voiding or redepositing legacy payroll transactions.


• Perform Post Issuance actions on Legacy Payroll transactions

N/A

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Business Processes



SCO AP Processor

The SCO control end user who is responsible for - adding and reviewing vouchers on behalf of non-FI$Cal departments - posting vouchers.

• Enter and Process Vouchers

• Create and Maintain Invoices

• Enter Vouchers • Research

Vouchers • Delete

Vouchers • Inquire on

Journals • Enter Vouchers

Using Control Groups

• Process Manual Payments

• View Vendor Information

• Post Voucher • Un-post

Voucher

• Creates vouchers for review and approval by additional State Controller’s Office (SCO) Approver(s)

• Processing manual payments will require a separate User ID. This User ID will be able to run budget checking and matching

• Posts vouchers created by the Departmental AP Processor and approved by SCO AT Approvers


associated with the AR Reporter, AP Viewer, PO View Only, Vendor Viewer, GL Viewer, Appropriation Viewer, and Operating Budget Viewer roles


Confidential User to add/update confidential accounts payable information

Hard Stop Requirements: • If combined with the SCO

AT Approver role, this user can only act in one capacity on the voucher

SCO AP Replacement Warrant Approver

The SCO end user with access to approve Warrants with Replacement related Post Issuance Action applied.




N/A

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Business Processes



SCO AP Void Approver

The SCO end user with access to approve Warrants with Post Issuance Action of Void applied.




N/A

SCO AP Void Processor

The SCO end user with access to approve vouchers created through SCO Expedite processing workflow.


• View Warrants • Perform Post

Issuance on Warrants

N/A

SCO Pay Cycle Processor

The SCO end user who is responsible for running warrant pay cycle, generating outbound print files, and posting payments for warrants.


• Run Warrant Pay Cycle

• Post Payments • Generate

Outbound Print Files and Spool Memo

N/A

SCO Warrant Payee Update Approver

The SCO end user who is responsible for approving updates to Warrant Payee information that requires approval.


• Review Payee Information Updates

• Approve Payee Information Updates

• Reviews and determines the approval action for Payee information updates made by the SCO AP Payment Processor

SCO Warrant Payment Maintainer

The SCO end user who is responsible for - configuring registered warrant options - setting up warrant print file options - setting up warrant status and warrant status access security.


• Maintain Registered Warrant Configurations

• Maintain SCO Warrant Printing Configurations

• Maintain SCO Warrant Status Configurations

• Maintain Warrant Status Authorizations

Suggested Role Combinations: • Can be combined with SCO

Accounting Maintainer • Can be combined with roles

that have access to define Budget attributes

• Can be combined with the SCO Pay Cycle Processor

Separation of Duty Requirements: • Cannot be combined with

the SCO AP Payment Processor

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Business Processes



SCO Warrant Status Approver

The SCO end user who is responsible for approving Post Issuance actions that require approval.




• Reviews and determines the approval action for Post Issuance updates made by the SCO AP Payment Processor

STO AP Processor

The STO end user who is responsible for entering, researching, deleting, and correcting vouchers.


• Enter Vouchers • Maintain

Vouchers • Research

Vouchers • Delete

Vouchers • Inquire on

Journals • Process

Manual Payments


associated with the Vendor Viewer and GL Viewer roles


Confidential User to add/update confidential cash management information

• Can be combined with STO Pay Cycle Processor to generate/ dispatch the demand checks

STO Pay Cycle Processor

The STO end user who is responsible for running pay cycle, and cancelling and posting payments.


• Run Pay Cycle • View Voucher

Information • View Payment

Information • Cancel

Payments • Post Payments

• Approves the Pay Cycle run by the STO AP Processor

SCO Non-FI$Cal Approver

The SCO end user with access to approve vouchers created through SCO Expedite processing workflow.

• Process Payment

• Review Voucher Information

• Approver Voucher Information

• N/A

3. Accounts Receivable (AR)

3.1 Accounts Receivable Process Overview The Accounts Receivable process provides functionality in FI$Cal for establishing a department-specific customer file, generating invoices, entering and collecting receivables,

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maintaining receivables, processing customer payments (both miscellaneous receipt payments and customer receivable payments), creating deposits and remittances with certain types workflowing to STO and/or SCO for approval, generating an Interagency Intercept Collection list, and writing off receivables. The process begins when customer information (e.g., departments, private entities, and employees) is added or updated in a department-specific customer file. Customers are required for generating invoices, recording employee receivables, and recording and applying receipts for invoices/receivables. Customer information is not required for recording miscellaneous receipts; however, customers may be associated with miscellaneous receipt transactions. Once an invoice or a receivable is established for a customer, the department may perform and track collection activities (e.g. sending dunning/collection letters, recording customer interactions, and recording collection actions) for the receivable within FI$Cal.

3.2 Accounts Receivable Roles This section provides details for each FI$Cal end-user role related to the Billing/Accounts Receivable processes for the SCO/STO Release, including:

• Role Name





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Table 2: Accounts Receivable Roles


Business Processes



Control Agency AR Payment Processor

The SCO or STO end user who is responsible for: - entering payment data. This end user applies payments to invoices (through worksheets or Payment Predictor) - running the FTB/Lottery Offset and Outbound FTB Interfaces.


• Enter Payments • Apply Payments to

Invoices • Code Payments • View Customer

Receivable Information

• Enter Customer Conversations

• Run FTB/Lottery Offset Interfaces on an Ad Hoc Basis

• Run Outbound FTB Items Interface on an Ad Hoc Basis

• Processes payment data from the Department Deposit Slip Processor / STO Deposit Slip Processor

Automatically Assigned Roles: • Includes additional

access associated with the AR Reporter and AR Customer Viewer roles

Separation of Duty Requirements: • Cannot be combined

with the STO Deposit Slip Processor

SCO AR Cash Clearing Processor

The SCO end user who is responsible for running the Deposit Cash Clearing process.


• Run AR Deposit Cash Clearing on an Ad Hoc Basis

N/A

SCO AR Maintainer

The SCO end user who is responsible for setting up the configuration for cash clearing.


• Maintain AR Cash Clearing Configuration

N/A

SCO Write-off Approver

The SCO end user who is responsible for approving write-offs above the threshold amount.

• Enter and Maintain Receivables

• Collect Receivables

• Approve write-offs N/A

STO Demand Journal Processor

The STO control end user who is responsible for recording demand journals (deposits) in FI$Cal.


• Record Demand Deposits (Remittance Advice)

N/A

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Business Processes



STO Deposit Slip Processor

The STO end user who is responsible for entering and updating deposit slip information for non-FI$Cal departments.


• Enter Deposit Slips • Modify Deposit

Slips • Print Deposit Slips • Run Deposit-

Related Reports

N/A

4. Bond Accounting (BA)

4.1 Bond Accounting Process Overview The Bond Accounting process manages the lifecycle of a bond, including the authorization and issuance of the bond, and the distribution and tracking of bond funds and debt service. Once bond information is available from the State Treasurer’s Office (STO) or any other ancillary sources or systems, the bond will be interfaced into FI$Cal with the appropriate bond information. This process also includes the accounting of bond outstanding balances and future debt service requirements. The Bond Accounting process also includes the accounting of all types of bonds and/or related investments. Bond Accounting records all accounting entries generated by activities associated with the life cycle of a bond, including bond authorization, interim financing, bond issuance, distribution of bond funds, and tracking and debt service.

4.2 Bond Accounting Roles This section provides details for each FI$Cal end-user role related to the Bond Accounting processes for the SCO/STO Release, including:

• Role Name





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Table 3: Bond Accounting Roles


Business Processes



Control Agency DM Processor

The SCO or STO end user who is responsible for: - processing bonds, including viewing bond details to validate, reversing bonds, and performing any necessary manual refunding or defeasances - interface processing related to bonds.

• Create and Manage Bond

• Authorize Bond

• Issue Bond • Distribute

Funds • Track Funds

• Track Funds • Run Bond

Related Interfaces

N/A

5. Cash Management (CM)

5.1 Cash Management Process Overview Cash Management is the use and management of cash, including bank account management, bank statement reconciliation, cash position management, and cash forecasting. The creating and maintaining of the bank accounts process involves the configuration setup of the State Bank, Demand Banks, the Centralized Treasury System (CTS) Accounts, the Warrant Accounts, and the Demand Bank Accounts. The bank statement reconciliation process will be used to reconcile system transactions to bank statements and will give the control agencies and departments the ability to manage reconciliation. The Bank Account Transfer process facilitates the transfer of cash between CTS Bank Accounts, as well as between demand accounts in the different depository banks, to correct errors generated in Accounts Payable (AP) or Accounts Receivables (AR). The Managing Cash Positions process will enable partner agencies and departments to view the position of cash in the appropriate bank account. The Cash Forecast business process enables the partner agency to make use of the Cash Position and various other FI$Cal information to support the current Cash Forecasting reports created by the partner agency at daily, six-week, ten-week, and six-month intervals via various reports.

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5.2 Cash Management Roles This section provides details for each FI$Cal end-user role related to the Cash Management processes for the SCO/STO Release, including:

• Role Name




• Relationships with Other Roles Table 4: Cash Management Roles


Business Processes



SCO Cash Transfer Processor

The SCO end user who is responsible for creating and submitting requests for bank account transfers between CTS bank accounts.

• Cash Management

• Create and Submit CTS Bank Account Transfers

• Creates and submits transfers for review and approval by SCO GL Journal Approver

Hard Stop Requirements: • Can be assigned SCO

SCO GL Journal Approver, but will not be able to self-approve

SCO CM Journal Approver

The SCO end user who is responsible for approving the journal entries submitted by departments via the Cash Management Module.

• Cash Management

• Manage Cash Management Journals

• Approves journal entries created by the Department CM Journal Processor

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Business Processes



SCO Investment Pool Administrator

The SCO end user who is responsible for - interface processing related to investment pool functionality - approving transactions in the investment pool functionality (this role will have access to the Participant Transactions and Participant Position pages) - investment pool functionality, including pool information, participant information, participant transaction, viewing transactions, pool position, participant position, and interest allocation.

• Investment Maintenance

• Process Inbound Interfaces (ad hoc)

• Process Outbound Interfaces (ad hoc)

• Approve Participant Deposits

• Approve Participant Withdrawals

• Add Participants • Remove

Participants • Process Interest

Allocation

N/A

STO Bank Account Maintainer

The STO end user who is responsible for creating and maintaining banks, bank branches, and all bank accounts that the state configured.

• Bank Account Management

• Maintain Bank, Bank Branches, and External Account Information

• Maintains banking information to be used by the Department Deposit Processor, STO Deposit Slip Processor and the STO Bank Reconciliation Processor

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STO Bank Reconciliation Processor

The STO end user who is responsible for - reconciling the bank statements for each demand bank account under the depository banks via automatic, semi-manual, or manual reconciliation and analyzing exceptions to the reconciliation process - configuring any configuration related to the deposit slip - approving department supplemental deposit slips - entering and updating deposit slip information for non-FI$Cal departments - running all scheduled STO-related CM batch processes (e.g., the Create Demand Deposit Accounting entries) - running delivered Cash Management reports and any other custom STO report - viewing demand account accounting entries.

• Bank Reconciliation


• Cash Management

• Review Bank Statements

• Reconcile Bank Statements

• Analyze Reconciliation Exceptions

• Correct Errors from the CM External Transaction Interface Process

• Configures Depository Banks

• Configures Demand Bank Accounts

• Configures Department Locations Associated with Deposit Slips

• Maintains Configurations Related to Relationships Between the CTS Bank Accounts and the Demand Accounts

• Any Other Configurations Related to Demand Bank Accounts and Deposit Slips

• Print Deposit Slips

• Run Deposit-Related Reports

• Enter Deposit Slips

• Modify Deposit Slips

• Print Deposit Slips

• Run Deposit-Related Reports

• Run Create

• Reconcile transactions created by the Department Pay Cycle Processor and Department AR Payment Processor to bank statements

• Runs reports based on the activity recorded by the Pay Cycle Processor and AR Payment Processor


access associated with the AP Viewer, AR Viewer, and Department CM Report Viewer roles

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Business Processes



Demand Deposit Accounting entries

• Run Import External Transactions

• Run Load Bank Statements

• Import Bank Statements

• Run Delivered Cash Management Reports

• Run Payments Forecasting Reports

• Run NSF Reports • Run Daily Deposit

Reports • Run STO Minus

Float Report • Run Custom

Reports for Demand Accounts

• Reviews Demand Deposit Accounting entries created for Deposit Slip

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Business Processes



STO Cash Forecast Processor

The STO end user who is responsible for - creating and maintaining the configuration for cash positions, time spans, and cash position Structured Query Language (SQL) for department cash positions - viewing demand account accounting entries - creating and submitting requests for bank account transfers between demand accounts - recording demand journals (deposits) in FI$Cal.

• Cash Management

• Cash Forecasting

• Manage Cash Positions

• Runs Custom STO Forecasting Reports

• Reviews Demand Deposit Accounting entries created for Deposit Slip

• Create and Submit Demand Account Transfers

• Record Demand Deposits (Remittance Advice)

• Maintains Cash Position configuration used by Cash Management end users

• Creates and submits transfers for review and approval by STO Cash Transfer Approver

Hard Stop Requirements: • Can be assigned STO

Cash Transfer Approver, but will not be able to self-approve

STO Cash Transfer Approver

The STO end user who is responsible for reviewing and approving transfers between demand accounts.

• Cash Management

• Approve Demand Account Transfers

• Reviews and approves transfers submitted by the STO Cash Forecast Processor

Hard Stop Requirements: • Can be assigned STO

Cash Forecast Processor, but will not be able to self-approve

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Business Processes



STO Confidential Bank Account Approver

The STO end user who is responsible for accepting or rejecting the bank account details recorded and approved by the department user and approve for the Accounts Outside CTS.


• Accept/Reject Bank Account Details

• Accepts or rejects the bank account details recorded and approved by the department user and approve for the account outside the CTS

STO Confidential Report Viewer

The STO end user who is responsible for - running the reports related to accounts outside CTS with an unmasked account number - viewing the bank account details recorded in the Accounts Outside CTS page.


• Run Reports Related to Accounts Outside CTS

• Views Bank Account Details

• Run reports of bank account details recorded by Department Bank Account Processor and approved by the confidential Department Bank Account Approver

• Views bank account details recorded by Department Bank Account Processor and approved by the Department Bank Account Approver

• Records and Updates Bank Account details to be approved by Confidential Department Bank Account Approver

STO Investment Pool Viewer

The STO end user who views investment pool pages to run the outbound interface and reports.


• View Investment Pool

• View Investment Pool Participants

• View Investment Pool Transactions

• Run Monthly LAIF Detail Register Report

• Run Outbound Interface to STO

• N/A

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6. General Ledger (GL)

6.1 General Ledger Process Overview General Ledger is the central repository for all financial transactions recorded across all modules. Enter and Process Journals is the primary General Ledger business process for daily, month-end, and year-end adjustments and corrections in the General Ledger (GL). This process includes the entering, validating, and budget checking of journals, as well as posting journals to a ledger. This process is used to post both financial and statistical transactions to the GL. Journal entries can be created directly in the GL, via the subsystem Journal Generation process, from external systems, or uploaded using the Spreadsheet Journal Import tool. The Create and Process Budget Transactions business process provides for the recording of budgeted revenue and expenditure amounts against which transactions in all FI$Cal modules are validated. The budget structures that control budget validation will be defined prior to posting budget transactions. Key functions of this business process include recording budget transactions in FI$Cal, either online or via an interface process from the Hyperion Planning, Budgeting, and Forecasting system ("Hyperion"), then posting those journals to budget ledgers. The Labor Distribution process creates accounting entries to record the State's payroll transactions. The process initially classifies each department's payroll costs to a single, department-specific default accounting classification, and then distributes those costs to employee-specific accounting classifications based on business rules defined by the departments. The Allocations process creates GL journals that reclassify, or "distribute," monetary or statistical ledger balances within a business unit or across business units. The Process Financial Statements process provides department reports and year-end close procedures. The Maintain Chart of Accounts (COA) process supports the maintenance of ChartField values and their associated system configuration, including trees and ChartField Attributes. Process Financial Statements is the General Ledger process for reporting transactions in the GL. This process generates statewide reports, departmental reports, and year-end close procedures. Reports may consist of budgetary/legal, cash, and Generally Accepted Accounting Principles (GAAP) basis reports. The GL will be the California State Book of Record, and all Year-End financial statements will be created from FI$Cal.

6.2 General Ledger Roles This section provides details for each FI$Cal end-user role related to the General Ledger processes for the SCO/STO Release, including:

• Role Name


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• Relationships with Other Roles Table 5: General Ledger Roles


Business Processes



SCO Budget Overrider

The SCO end user who is responsible for - overriding appropriation budget exceptions - overriding claim budget exceptions.

• Enter and Process Budget Journals

• Review Appropriation Budget Exceptions

• Override Appropriation Budget Exceptions

• Review Legacy Payment/Claim Budget Exceptions

• Override Legacy Payment/Claim Budget Exceptions


access associated with the SCO Appropriation Approver

SCO Appropriation Approver

The SCO end user who is responsible for - creating and posting statewide controlling budget journals and post Appropriation transactions interfaced from Hyperion

• Enter and Process Journals


• Enter Budget Journals

• Approve Budget Journals

• View Budget Check Exceptions

• View Override Budget Exceptions

• The SCO Appropriation Approver is notified outside of FI$Cal by the SCO Appropriation Processor if a budget journal is created

SCO Appropriation Processor

The SCO end user who is responsible for creating a statewide controlling budget journal and view appropriation transactions interfaced from Hyperion.


• Enter Budget Journals

• The SCO Appropriation Approver will be notified outside of FI$Cal by the SCO Appropriation Processor if a budget journal is created

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Business Processes



SCO Average Daily Balance Processor

The SCO user who is responsible for running the Average Daily Balance Calculation process.


• Run the Average Daily Balance Calculation process

• Run the Average Daily Balance Calculation Report

• Run the Average Daily Balance Definition Report

N/A

SCO Cash Forecasting Administrator

The SCO end user who is responsible for - updating /maintaining the configuration pages associated with the Cash Forecasting process - running the daily Cash Basis Report, the Cash Forecasting Daily Report, Cash Forecasting Monthly Report, and the Mapping Change process - configuring the cash flow loan settings when updating general fund cash flow loans.



• Maintain Loans

• Updates and Maintains the Configuration Pages Related to the Cash Forecasting Process

• Runs Daily Cash Basis Report, the Cash Forecasting Daily Report, Cash Forecasting Monthly Report, and the Mapping Change Process

• Configure General Fund Cash Flow Loan Settings

• Access to the configuration and process execution used by this Cash Forecasting extension should be limited to Cash Forecasting Administrators (all configurations)

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Business Processes



SCO Cash Validation Exception Processor

The SCO user with access to override cash validation exceptions.


• Authority to override Cash Validation Exceptions in the following areas: General Ledger Journal Entry, SCO Interfaced Journals Entry, Accounts Payable Voucher Payment, SCO Interfaced Payments, Accounts Receivable Direct Journal Deposit, Automated Bond Cash Transfer, Labor Distribution, Loan Accounting

N/A

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Business Processes



SCO Financial Statement Report Processor

The SCO end user who is responsible for - creating the Budgetary/Legal Basis Annual Report, the GAAP Basis Annual Report, and supplements - maintains the financial statement trees - running the ledger extract processes that populate the new GAAP, BLL, and Full Accrual ledgers - running the SCO Year End Financials process - running the reports related to accounts outside CTS with an unmasked account number - viewing the bank account details recorded in the Accounts Outside CTS page.

• Process Financial Statements



• Create Annual Reports

• Prepare Supplements

• Prepare Budgetary Comparison Schedules

• Prepare CAFR Supplements

• Publish Reports • Maintains the

Financial Statement Trees

• Runs Ledger Extract Processes

• Run the Inbound SCO Year End Financials Interface Process to Load Annual Accrual Data for Non-FI$Cal Departments into FI$Cal

• Run Reports Related to Accounts Outside CTS

• Views Bank Account Details

• Run Reports of bank account details recorded by Department Bank Account Processor and approved by the confidential Department Bank Account Approver

• Views bank account details recorded by Department Bank Account Processor and approved by the Department Bank Account Approver


access associated with the GL Journal Processor and GL Viewer

SCO GL Budget Definition Maintainer

The SCO end user who is responsible for maintaining the Commitment Control Budget Definition for statewide and department budgets.


• Manage Commitment Control Budget Definition

• Manages Commitment Control Budget Definition for GL end users

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Business Processes



SCO GL Configuration Maintainer

The SCO end user who is responsible for - creating and maintaining the CM accounting templates for the External Transactions table for food vouchers, unemployment insurance, and disability insurance - maintains the configuration pages related to the Average Daily Balance Calculation process - maintaining the supporting configuration for the Bond Cash Transfer Extension - maintaining the supporting configuration of the Investment Accounting Interface. - maintaining the configuration related to the ledger extract processes - managing the configuration of the Transaction Request Interface - adding / updating general configuration for loan accounting

• Cash Management


• Establish Loans

• Maintain Loans

• Create CM Accounting Templates

• Maintain CM Accounting Templates

• Configure the Average Daily Balance Definition Page

• Maintains Bond Cash Transfer Extension Configuration

• Maintains Investment Accounting Configuration

• Maintains Ledger Extract Extension Configurations

• Configure Transaction Request Interface

• Configure LD Half Sheet options and Account mapping

• Add and Update/Display access to the new Message Codes component

• Apply Application Level Configuration

• Configures interfaces that the SCO GL Journal Processor runs


access associated with the GL Journal Viewer

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Business Processes



SCO GL Journal Approver

The SCO end user who is responsible for - approving specified journals - approving AR direct journal payments - reviewing and approving investment accounting entries and configuring PMIA Participants - reviewing and approving department requests for transfers between CTS bank accounts - correcting claim funding information in case of invalid ChartField translation - updating and correcting funding information for claims marked in error, running the claim validation process, and setting up the Legacy Defaults page.




• Cash Management

• Update Journals • Approve Journals • Reject Journals • Post Online

Journals • Approve AR

Direct Journal Payments

• Review and Approve Accounting Entries

• Configure PMIA Participants

• Approve CTS Bank Account Transfers

• Review Legacy Payment/Claim ChartField Header and Funding Information

• Correct Legacy Payment/Claim ChartField Funding Values

• Update Funding Information on Claims in Error

• Run Validation Process Post Error Corrections

• Maintain Legacy Defaults Setup

• Reviews and determines the approval action for specified journals submitted by either a SCO Financial Statement Report Processor or by a properly approved departmental journal

• Reviews and approves transfers submitted by the Cash Transfer Processor and approved by the Cash Transfer Approver


access associated with the GL Viewer

Hard Stop Requirements: • Can be assigned SCO

Cash Transfer Processor, but will not be able to self-approver

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SCO GL Journal Processor

The SCO end user who is responsible for - creating journals in the Modified Accrual, Cash Adjustment, and Full Accrual Adjustment ledgers - running online edit and budget check - submitting to the journal approval process - processing the transfer of cash into the bond expenditure sub-funds - running the process to load investment accounting details into FI$Cal - running the process to pass Transaction Requests details to FI$Cal.


• Create Journals • Create Cash Adjustments • Create Full Accrual Adjustments • Import Journals • Edit Check Journals • Budget Check Journals • Execute Journal Generator • Submit Journals • Correct Suspense Entries

• Submits journals to be approved by GL end users



• Create Journals • Create Cash

Adjustments • Create Full

Accrual Adjustments

• Import Journals • Edit Check

Journals • Budget Check

Journals • Execute Journal

Generator • Submit Journals • Correct Suspense

Entries • Run Automated

Bond Cash Transfer Process

• Run Investment Accounting Interface

• Access Investment Accounting Entries Page to Review and/or Update Entries

• Run Investment Accounting Posting Interface

• Access Pending Transaction Page to Review and/or Update Entries

• Run Transaction Request Interface

• Run Flat File Journal Import Process

• Access Transaction Request Accounting Entries Page to Review and/or Update Entries

• Correct/Review processing errors

• Submits journals to be approved by GL end users


access associated with the Department GL Journal Processor and GL Viewer

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7. Loan Accounting (LA)

7.1 Loan Accounting Process Overview Loan Accounting is the configuration, maintenance, borrowing, repayment, and tracking of loans. This method includes establishing, processing, and approving a configured loan in FI$Cal. State departments and control agencies track key elements such as loan eligibility, requirements, and terms. Loan Maintenance is the process by which loan terms will be updated. Potential updates include maturity date, interest rate, and repayment schedule. Loan Repayment is the method of processing a payment for a loan, both full and partial.

7.2 Loan Accounting Roles This section provides details for each FI$Cal end-user role related to the Loan Accounting processes for the SCO/STO Release, including:

• Role Name




• Relationships with Other Roles Table 6: Loan Accounting Roles


Business Processes



SCO Loan Approver

The SCO end user who approves and posts loans that impact fund or appropriation balances.

• Establish Loans

• Maintain Loans

• Repay Loans

• Review Loans • Approve Loans

• Approves loan transactions prepared by the SCO Loan Processor

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Business Processes



SCO Loan Processor

The SCO end user who is responsible for - enter and maintain loan transactions - create and update loans and participants - run inquiries and reports on loans and loan transactions.

• Establish Loans

• Maintain Loans

• Repay Loans

• Create Loan Transactions

• Update Loan Transactions

• Post Loan Transactions

• Upload Loan Transactions Using Excel to CI

• Configure Loan Details

• Update Loans • Create

Repayment Transactions

• Inactivate/Close Loans

• Post Loans • Inquire Loans • Run Loan–

Related Reports

• Processed loan transactions are routed to the SCO Loan Approver.

• Receives loan approvals from the SCO Loan Approver.

• Reviews loan updates processed by the SCO Loan Processor.

8. Project Costing (PC)

8.1 Project Costing Process Overview Project Costing is the financial tracking of projects. This involves the processes of projects, project budgets, project costs, and project capitalization. Create and Maintain Projects involves the creation of new projects in FI$Cal and from supporting systems. Project Budgets will be received from supporting business processes occurring in the Budgets and Commitment Control modules, which will enforce or monitor project budgets at the point of transaction entry. All project-related transactions are captured by Project Costing from FI$Cal modules, including Procurement, Accounts Payable, General Ledger, Grant Management, Customer Contracts, and Labor Distribution, as well as external systems. Project Capitalization involves sending expenditures identified as applicable to be capitalized to the Asset Management module where asset accounting functionality and In-Service/Depreciation journal entries are initiated.

8.2 Project Costing Roles This section provides details for each FI$Cal end-user role related to the Project Costing processes for the SCO/STO Release, including:

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• Role Name




• Relationships with Other Roles Table 7: Project Costing Roles


Business Processes



SCO Fund Distribution Processor

The SCO end user who is responsible for loading a Fund Distribution Rule using an Excel-to-CI template.


• Create Fund Distribution Rules

• Process Fund Distribution Rules

N/A

SCO PC Processor

The SCO end user who is responsible for creating Federal Trust Fund (FTF) Projects and assign CFDA Sequential values.

• Create and Maintain Projects

• Create and Maintain Federal Trust Fund Projects

This is the only role that has the ability to create and maintain Federal Trust Fund Projects

9. Cross-Module Reporting

9.1 Cross-Module Reporting Roles This section provides details for each FI$Cal end-user role related to cross-module reporting for the SCO/STO Release, including:

• Role Name





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Table 8: Cross-Module Reporting Roles


Business Processes



SCO SARD Reporter

The SCO SARD end user who is responsible for - running SCO SARD reports - view the configuration for cash clearing - running the Budgetary / Legal Basis report - viewing the CM custom page for the Accounts Outside CTS report



• Run SCO SARD Related Reports

• View AR Cash Clearing Configuration

• View “Accounts Outside CTS approval” Custom Page


the SCO Claim Viewer Separation of Duty Requirements: • Cannot be combined with

the SCO Disbursements Reporter or the SCO AT Reporter

SCO Disbursements Reporter

The SCO SARD end user who is responsible for - running SCO Disbursement reports - viewing legacy payment / claim information - viewing configured warrant status and warrant status access security.


• Run SCO Disbursements Related Reports

• View Processed Claim Header, Funding, and Payment Information

• View Post Issuance Status of Claims

• View Warrant Status Configuration

Separation of Duty Requirements: • Cannot be combined with

the SCO SARD Reporter or the SCO AT Reporter

• Cannot be combined with the SCO Accounting Maintainer

Suggested Role Combinations: • Do NOT combine with

the SCO Warrant Payment Maintainer role or the end user will only be able to view the configuration and not update it

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Business Processes



SCO Reporter The SCO end user who is responsible for - viewing claim and funding information - viewing Fund Details page to set up escheatment ChartFields - viewing registered warrant options - running SCO reports for bank statements, reconciliation, and cash management processing - viewing configuration pages and reports associated with the Cash Forecasting process - running SCO-specific reports - updating / maintaining the annual reports configuration page.


• Cash Management




• Runs SCO-specific reports for distribution/ viewing as necessary

• View Claims • View SCO

Accounting Configurations to Derive Fund Information for Processing Escheatment

• View Registered Warrant Configurations

• Run Cash Management Reports

• View Cash Management Reports

• Views Configuration Pages and Reports Associated with the Cash Forecasting Process

• Updates and Maintains the Annual Reports Configuration page

• Runs reports related to SCO

• Access to the configuration and process execution used by Cash Forecasting extension should be limited to Cash Forecasting Administrators (all configurations)


the SCO SARD Reporter • Can be combined with

other roles that have access to view fund code setup

• Can be combined with roles that have access to view Budget attributes

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Business Processes



STO Reporter The STO control who is responsible for running STO reports, including delivered Cash Management reports and any other custom STO report.


• Cash Management

• Run Payments Forecasting Report

• Run Cash Management and Cash Accountability Report

• Run Registered Warrant Payment Status Report

• Run Delivered Cash Management Reports

• Run Payments Forecasting Reports

• Run NSF Reports • Run Daily Deposit

Reports • Run STO Minus

Float Report • Run Custom

Reports for Demand Accounts

• Creates and runs reports that may be shared with other STO end users

• Runs reports based on the activity recorded by the Pay Cycle Processor and AR Payment Processor


Confidential User to view confidential accounts payable information

10. Pre-Payment Audit

10.1 Pre-Payment Audit Process Overview The Pre-Payment Audit Process will assist SCO Audits to systemically identify the Vouchers needing additional review based on Pre-Payment Audit selected rules. These selected rules are defined and maintained by the SCO staff based on Voucher and Procurement transactions within PeopleSoft. The solution also provides the SCO Audit staff the ability to record the audit findings directly on the voucher approval page.

10.2 Pre-Payment Audit Roles This section provides details for each FI$Cal end-user role related to Pre-Payment Audit for the SCO/STO Release, including:

• Role Name

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• Relationships with Other Roles Table 9: Pre-Payment Audit Roles


Business Processes



SCO Expedite Configuration Maintainer

The SCO Audit end user with access to maintain expedite processing options.


• Maintain Expedite Processing Configuration Items

• Enters and updates the expedite processing configuration items maintained by SCO

SCO AT Workflow Administrator

The SCO audit end user with access to admin functionality for the SCO Audit Tool for FI$Cal voucher approval.


• Reassign Vouchers in SCO Approvers' queue to different SCO Approvers

• Assign Ad Hoc SCO Approvers to Vouchers in SCO Approvers' queue

• Reroute and manage Approval workflow in State Controller’s Office (SCO) Approvers' queue

Appendix

Appendix A – Role to Business Process Matrix This appendix provides a matrix mapping the FI$Cal end-user roles (to also include future wave, exempt, and deferred roles) to the FI$Cal business processes in which the role has responsibility. Note: For acronym definitions, see Appendix C Glossary

Accounts Payable This appendix provides a matrix mapping the Accounts Payable FI$Cal end-user roles to the Accounts Payable FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the Accounts Payable FI$Cal business process for 2017 SCO/STO Release in the corresponding column. Note: Only FI$Cal end-user roles related to one or more of the 2017 SCO/STO Release FI$Cal Accounts Payable business processes are included.

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Table 10: Accounts Payable End-User Role to Business Process Map

FI$Cal End-User Role Ente

r and

Pro

cess

Vou

cher

s

Proc

ess

Paym

ents

Cre

ate

and

Mai

ntai

n In

voic

es

SCO Accounting Maintainer X SCO AP Batch Processor X SCO AP Direct Transfer Approver X SCO AP Payment Processor X X SCO AP Payroll Approver X SCO AP Payroll Processor X SCO AP Processor X SCO AP Replacement Warrant Approver X SCO AP Void Approver X SCO AP Void Processor X SCO Non-FI$Cal Approver X SCO Pay Cycle Processor X SCO Warrant Payee Update Approver X SCO Warrant Payment Maintainer X SCO Warrant Status Approver X STO AP Processor X STO Pay Cycle Processor X

Accounts Receivable This appendix provides a matrix mapping the Billing/Accounts Receivable FI$Cal end-user roles to the Billing/Accounts Receivable FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the Billing/Accounts Receivable FI$Cal business process for 2017 SCO/STO Release in the corresponding column. Note: Only FI$Cal end-user roles related to one or more of the 2017 SCO/STO Release FI$Cal Billing/Accounts Receivable business processes are included.

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Table 12: Billing/Accounts Receivable End-User Role to Business Process Map


r and

Mai

ntai

n R

ecei

vabl

es

Proc

ess

Paym

ents

Col

lect

Rec

eiva

bles

Control Agency AR Payment Processor X SCO AR Cash Clearing Processor X SCO AR Maintainer X SCO Write-off Approver X X STO Demand Journal Processor X STO Deposit Slip Processor X

Bond Accounting This appendix provides a matrix mapping the Bond Accounting FI$Cal end-user roles to the Bond Accounting FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the Bond Accounting FI$Cal business process for 2017 SCO/STO Release in the corresponding column. Note: Only FI$Cal end-user roles related to one or more of the 2017 SCO/STO Release FI$Cal Bond Accounting business processes are included.

Table 13: Bond Accounting End-User Role to Business Process Map

FI$Cal End-User Role Cre

ate

and

Man

age

Bon

d

Auth

oriz

e Bo

nd

Issu

e Bo

nd

Dis

tribu

te F

unds

Trac

k Fu

nds

Control Agency DM Processor X X X X X

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Cash Management This appendix provides a matrix mapping the Cash Management FI$Cal end-user roles to the Cash Management/Treasury FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the Cash Management/Treasury FI$Cal business process for 2017 SCO/STO Release in the corresponding column. Note: Only FI$Cal end-user roles related to one or more of the 2017 SCO/STO Release FI$Cal Cash Management/Treasury business processes are included.

Table 14: Cash Management End-User Role to Business Process Map

FI$Cal End-User Role Cas

h M

anag

emen

t

Cas

h Fo

reca

stin

g

Proc

ess

Paym

ents

Bank

Rec

onci

liatio

n

Bank

Acc

ount

M

anag

emen

t

Inve

stm

ent

Mai

nten

ance

SCO Cash Transfer Processor X SCO CM Journal Approver X SCO Investment Pool Administrator X STO Bank Account Maintainer X STO Bank Reconciliation Processor X X X STO Cash Forecast Processor X X STO Cash Transfer Approver X STO Confidential Bank Account Approver X STO Confidential Report Viewer X STO Investment Pool Viewer X

General Ledger This appendix provides a matrix mapping the General Ledger FI$Cal end-user roles to the General Ledger FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the General Ledger FI$Cal business process for 2017 SCO/STO Release in the corresponding column. Note: Only FI$Cal end-user roles related to one or more of the 2017 SCO/STO Release FI$Cal General Ledger business processes are included.

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Table 15: General Ledger End-User Role to Business Process Map


r and

Pro

cess

Jou

rnal

s

Ente

r and

Pro

cess

Bud

get

Jour

nals

Proc

ess

Fina

ncia

l Sta

tem

ents

Proc

ess

Paym

ents

Cas

h Fo

reca

stin

g

Cas

h M

anag

emen

t

Inve

stm

ent M

aint

enan

ce

Bank

Acc

ount

Man

agem

ent

Esta

blis

h Lo

ans

Mai

ntai

n Lo

ans

SCO Appropriation Approver X X SCO Appropriation Processor X SCO Average Daily Balance Processor X SCO Budget Overrider X SCO Cash Forecasting Administrator X X X SCO Cash Validation Exception Processor X SCO Financial Statement Report Processor X X X SCO GL Budget Definition Maintainer X SCO GL Configuration Maintainer X X X X SCO GL Journal Approver X X X X SCO GL Journal Processor X X

Loan Accounting This appendix provides a matrix mapping the Loan Accounting FI$Cal end-user roles to the Loan Accounting FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the Loan Accounting FI$Cal business process for 2017 SCO/STO Release in the corresponding column. Note: Only FI$Cal end-user roles related to one or more of the 2017 SCO/STO Release FI$Cal Loan Accounting business processes are included.

Table 16: Loan Accounting End-User Role to Business Process Map

FI$Cal End-User Role Esta

blis

h Lo

ans

Mai

ntai

n Lo

ans

Rep

ay L

oans

SCO Loan Approver X X X

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FI$Cal End-User Role Esta

blis

h Lo

ans

Mai

ntai

n Lo

ans

Rep

ay L

oans

SCO Loan Processor X X X

Project Costing This appendix provides a matrix mapping the Project Costing FI$Cal end-user roles to the Project Costing FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the Project Costing FI$Cal business process for 2017 SCO/STO Release in the corresponding column. Note: Only FI$Cal end-user roles related to one or more of the 2017 SCO/STO Release FI$Cal Project Costing business processes are included.

Table 17: Project Costing End-User Role to Business Process Map

FI$Cal End-User Role Cre

ate

and

Mai

ntai

n Pr

ojec

ts

Ente

r and

Pro

cess

Jou

rnal

s

SCO Fund Distribution Processor X SCO PC Processor X

Cross-Module Reporting This appendix provides a matrix mapping the cross-module reporting FI$Cal end-user roles to the FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the corresponding FI$Cal business process for 2017 SCO/STO Release.

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Table 18: Cross Module Reporting End-User Role to Business Process Map

FI$Cal End-User Role Proc

ess

Paym

ents

Proc

ess

Fina

ncia

l Sta

tem

ents

Cas

h M

anag

emen

t

Ente

r and

Pro

cess

Jou

rnal

s

SCO SARD Reporter X X SCO Disbursements Reporter X SCO Reporter X X X X STO Reporter X X

Pre-Payment Audit This appendix provides a matrix mapping the Pre-Payment Audit FI$Cal end-user roles to the Pre-Payment Audit end-user roles to the FI$Cal business processes in which the role has responsibility. An “X” means that the role in the corresponding row is part of the Pre-Payment Audit FI$Cal business process in the corresponding column. Note: Only FI$Cal end-user roles related to one or more of the Pre-Payment Audit FI$Cal business processes are included.

Table 1: Pre-Payment Audit FI$Cal End-User Role to Business Process Map

FI$Cal End-User Role Proc

ess

Paym

ents

SCO Expedite Configuration Maintainer X SCO AT Workflow Administrator X

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Appendix C – Glossary

Abbreviations, Acronyms, and Terms Definition

Ad Hoc The department end user who can be added as an approver during the workflow process

AP Accounts Payable

AR Accounts Receivable

AT Audit Tool

Automatically Assigned Roles

Supplemental roles that are automatically assigned by FI$Cal when a department assigns the listed role to an end user. The additional roles provide the end user with the full functionality intended for the listed role

BA Bond Accounting

BI Billing

Budget Checking The process of comparing expenditure or revenue transactions against a defined budget

Central Of or pertaining to the administration, configuration, or management of FI$Cal from a central function

Central End User An individual at a department who is assigned one or more FI$Cal central roles

Central Role A FI$Cal end-user role designated specifically for performing a central function. These roles are generally performed by the FI$Cal Service Center, but may be requested by partner agencies and/or departments

ChartField(s) An accounting classification code (Fund, Program, etc.) Similar in usage to existing UCM codes

COA Chart of Accounts

Configurations Allows departments to define values for specific items in FI$Cal

CM Cash Management

CTS Centralized State Treasury System

SARD Statewide Accounting and Reporting Division

Deal Management Essential to liquidity management, improving investment returns, reducing interest expenses, streamlining deal initiation, administration, settlement accounting and position monitoring

Demand Accounts The eight accounts at the depository banks that contain all the banking activity for State of California Centralized Treasury System deposits and disbursements

Department State of California organization involved in the implementation of FI$Cal

Department End User An individual at a department who is assigned one or more FI$Cal department roles

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Department Liaison The individual assigned to serve as the focal point of communication and interaction between the FI$Cal Project and department staff

Department Role A FI$Cal end-user role designated specifically for performing a departmental function

Deposit Slip A deposit slip is a small form that is used to deposit funds into a bank account. In FI$Cal a Deposit Slip indicates the account, amount, and location of the deposit

Disbursements A division within SCO responsible for disbursing payments

DM Deal Management

DMS Debt Management System

DOF Department of Finance

FI$Cal Financial Information System for California

FI$Cal End User An individual who will use or be impacted by FI$Cal or new FI$Cal business processes, e.g. the change in a process from manual to automated

FI$Cal End-User Role A group of tasks that defines the access and responsibilities provided to an assigned FI$Cal end user

FTB Franchise Tax Board

GAAP Generally Accepted Accounting Principles

GL General Ledger

Hard Stop Requirements Roles that can be assigned in conjunction with the listed role; however, the end user cannot perform the actions associated with the multiple roles within the same transaction

Hyperion The statewide budgeting platform in FI$Cal

IRS Internal Revenue Service

LA Loan Accounting

LD Labor Distribution

Matching Compares a voucher with the PO and/or receiving documents and inspection confirming that payments are only made for goods and services that have been ordered, received, and inspected

Maintain Configuration

The ability to update configurable options of FI$Cal. These configuration options were either determined by the FI$Cal Project or collected from departments. Details on maintaining configuration by departments or as a central activity will be communicated to departments prior to go live

Miscellaneous Receipts A customer payment that is not related to an open receivable. Referred to as a Direct Journal Payment in FI$Cal

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Payment Predicator System process that applies payments against receivables based on configured rules and reference information associated with the payment (for example, Invoice ID)

P-Card Procurement Card

Pay Cycle

Generates a payment output file for SCO warrant printing or for departmental check printing. Warrants are assigned a warrant number and departmental checks are assigned a unique payment reference ID number searchable in FI$Cal

PD Procurement Division

PI Physical Inventory

PO (business process) Purchasing

PO (transaction) Purchase Order

Role Mapping The process of assigning one or more FI$Cal end-user roles to department end users

SB/DVBE Small Business/Disabled Veteran Business Enterprise

SCO State Controller’s Office

Separation of Duty Requirements

Roles that CANNOT be assigned in conjunction with the listed role in order to maintain an adequate system of internal control within a department

STO State Treasurer’s Office

Suggested Role Combinations

Roles that FI$Cal recommends are assigned or not assigned in conjunction with the listed role. Some additional roles are recommended to provide the end user with additional functionality typically associated with the listed role. Some roles are not recommended to be combined as the functionality of one role will override the functionality of the other role

Trees Specify how the system groups together the values of a field for purposes of reporting or security access

Vendor Management File (VMF)

A statewide, central source of vendor information used by departments for procurement, receiving, and payment functions

VMF Vendor Management File

Warrant An instrument drawn by the SCO directing the State Treasurer to pay a specified amount, from a specified fund, to the person or entity named

Workflow Journals are ‘routed’ to ‘approvers’ using workflow. These items can be viewed in the FI$Cal worklist

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