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Scope

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Scope

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Kaizen # 1: Electronic Library: Document Management

Lead: Andy

• Can we add notes to SharePoint• Can we build in work flow for tracking charges that have not hit KFS• Integrating “I Want” with SharePoint• Naming conventions • Who has access/security• What is the cost associated to SharePoint

Team: Lisa Marsh, Sherry Guernsey, Jeannine, Andy, Gwen

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Objective• Electronic solution for transmitting pcard receipts to the BSC

Progress• Outlined ideal system• Reviewed Research BSC SharePoint application• Agreed SharePoint is best solution to meet our needs• Software is free, but cost for programming, hosting, and managing• Access can be controlled by dept, BSC would see all

Next Steps• Demo to full team (6/12)• Meet with CALS IT (6/12)

Barriers• Unknown timeline for IT to implement instance• Document naming conventions

Kaizen 1: Electronic Library 30 Day ReportTeam: Andy (lead), Gwen, Jeanine, Lisa, Sherry G.

Kaizen # 2: EducationLead: CherieOf P-card users

• What do you do with the card holder statement• What is sufficient P-Card documentation (Receipts, Packing slips)• Clearly define business Purpose• Split shipment separate receipt or 3rd party shipments• Create checklist• Purchase orientation and recertification• Identify all needed fields • Educate user on best practice of not leaving full credit card

number on back-up documentation• Get consistent use of the “I Want” doc• Pcard is not a right it is a privilege • Rethink the pcard tutorial with the goal of helping customers be

compliant • Department/BSC education

Team: Cherie, Nancy, Tara, Lisa, Donna, Amy, Robin

Kaizen # 7: Define & Streamline Business Purposes

Lead: Donna

• Obtain clarity around accurate use of business purpose• Standardize business purpose• How specific or general should the purpose be – broad is better• General use supplies that are used by multiple projects

Team: Nancy, Amy, Becky, Lisa, Robin, Donna

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Objective• Educate: 1) Cardholders; 2) Units; 3) BSC/FTCs• Define Business Purpose

Progress• Split into two groups (BSC and Department) and began creating flow charts• Reviewed p card tutorial, will provide Procurement services with suggestions

for updates• Additional p card holder education can be added to Procurement gateway, ex:

CU Learn• Met with Jeff Silber and received business purpose guidelines and costing

allocation recommendations, that can be shared with departments• Merged Kaizen #2 and #7

Kaizen 2 & 7: Education/Business Purpose 30 Day ReportTeam: Cherie, Donna (leads), Nancy, Tara, Lisa, Amy, Robin, Cathy, Becky

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Next Steps• Develop outline for cardholder orientation packet/checklist • I Want Doc implementation and education• Work on getting BSC website up to date

Barriers• Waiting on other Kaizens to finalize, to move forward with flow charts

Kaizen 2 & 7: Education/Business Purpose 30 Day ReportContinued….

Kaizen # 3: Electronic Application

Lead: Becky

• Why is there a limit on the number of p-cards issued in a department? Can there be more flexibility in the decision process.

• Updating the application to include qualification criteria of P- card users (Potential P-card users know how to apply)

• Can Cardholder agreement be electronic?• Number of signatures required and can they be electronic?• Can the application be readily available on University website

Team: Becky, Sherry G. Donna, Jeanine

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Objective• Create electronic Procurement Card application and Cardholder agreement

Progress• Verified with Audit that an electronic application and cardholder agreement

can be automated.

• Have included Kevin Murphy (HE IT) and Natasha Aumick (Procurement Services) in discussions.

• Met with Dan Dwyer to discuss making both the application and cardholder agreement Cynergy documents.

Next Steps• Kevin Murphy to mock up our ideal application

Barriers• Unknown timeline for IT to implement instance

Kaizen 3: Electronic Application 30 Day ReportTeam: Becky (lead), Sherry G., Donna, Jeanine

Kaizen # 4: Compliance process

Lead: Sherry T.

• Standardize one BSC set of compliance procedures that implements University best practices.

• How can automated tracking be done to track auto’s replacing spreadsheet?

• How many warnings before suspension?• Prohibited transactions – will we track them? How will we deal with them.

Team: Becky, Cherie, Norma, Sherry T., Susan

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Objective• Standardize BSC Compliance procedures• Automate tracking autos and prohibited transactions to replace spreadsheet• How many warnings before suspension

Progress• Kaizen #5 identified option to automate notification to PCard holders.

Compliance team recommending 10th day, allowing 5 additional days to successfully release

• Agreed to continue 1/2/3 warning/suspension process – continue to explore tracking options

• Metrics – weekly tracking of PCard transactions loaded, successfully released, automatically released, along with the number of times PCardholders or departments are being contacted for missing information.

Kaizen 4: Compliance process 30 Day ReportTeam: Sherry T (lead), Becky, Cherie, Norma, Sherry T., Susan

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Next Steps

• Review and suggest updates to current ‘Best Practice’ document

• Review current Warning/Suspension communications

• Explore ‘Payment Activity Dashboard’ and other options for tracking

• Explore possible ‘pilot’ of auto notifications

• Merge Kaizen #5 – KFS Enhancement to Kaizen #4

Barriers• None yet

Kaizen 4: Compliance process 30 Day ReportContinued….

Kaizen # 5 KFS Enhancements

Lead: Norma

• Non-Compliance Notification – alert button• Auto and prohibited transactions• Identification of Auto’s in GL/Dashboard – ability to flag a true auto• Preparing KFS transactions in the BSC that do not have a receipt

Team: Cherie, Norma, Rich

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Objective• Non compliance Notification – alert button or automatic notification• Auto and prohibited transactions• Identification of Auto’s in GL/Dashboard – ability to flag a true auto• Prepping KFS transactions in the BSC that do not have a receipt.

Progress• Working with Dan Dwyer and Sarah Christen on setting up an “I-Bot” auto

email to p card holder, on date determined by group

• There is a way to have the transactions appear in the Dashboard reports with an indicator for “Auto” – More information to come

Kaizen 5: KFS Enhancement 30 Day ReportTeam: Norma (lead), Cherie, Rich

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Next Steps• Will need to meet with the team to discuss the writing of the “Standard

Letter” that “I-Bot” will generate so that it covers all the pertinent information.

• Dan Dwyer and Sarah Christen believe that we will be able to have everything in place to go “Live” with the “I-Bot” feature within the timeline, but will probably implement after the 90 days.

• Will be merging with Kaizen #4: Compliance Process.

Barriers• Time – Due to many other initiatives being explored and implemented. Plus

this new process will involve multiple colleges/units

Kaizen 5: KFS Enhancement 30 Day Reportcontinued…

Kaizen # 6: Define Roles & Responsibilities (Multiple Reviews)Team: Jeanine (Lead), Tara, Lisa, Andy, Sherry G.

Objectives from 3 Day Launch:

• Who scans PCards receipts• Who retains original receipt - MOU• Who initiates GEC for auto releases • Who assigns the object code• Have the BSC integrate into the unit – attend staff meetings (orientation

meeting)• Get support from upper management and Deans to empower decisions

around suspensions and exceptions • Who has role of approval for the p-card transaction

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Kaizen #6: Define Roles & Responsibilities 30 Day Report

P-Card Holder• Submit sufficient documentary evidence immediately to designated

scanner.

• State business purpose so that it is understandable by an internal/external auditor with no knowledge of the person or the expense and how it benefits the mission of the university/project.

• If meal purchase, include attendees, agenda/purpose of the meeting, and alcohol if purchased.

P-Card Holder’s Supervisor• Hold p-card holder accountable for following university policy.

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Department Staff• Submit completed ‘P-Card Receipt Scanning at the Unit’ MOU to the BSC.

Update as necessary.

• Answer questions regarding allocability and allowability. Departments may have additional review procedures.

• Assist with education of p-card holders on appropriate business purposes and account numbers.

Scanner of Documentation into Electronic Library• Scan documentation immediately, ideally within 2 days of receiving the

documentation.

• Use naming convention as designated by the electronic library.

• Ensures scans are legible, neat, orderly and no confidential/sensitive data.

• Responsible for record retention of original documentation as defined in the MOU.

Kaizen #6: Define Roles & Responsibilities 30 Day Report

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BSC• Sign and retain ‘P-Card Receipt Scanning at the Unit’ MOU. Ensure update as

necessary, at least annually.• Verify sufficient documentation has been submitted, that the account and object code

are proper and that all purchases comply with university policy and other restrictions applicable to the account. Confirm no sensitive or confidential data is included.

• Confirm appropriate funds in account to cover the charge and purchase was made within the term dates of the account; before the term date.

• Release the transaction in KFS.• If a transaction is in violation of university policy, issue a warning email to the p-card

holder, copy the supervisor, the admin manager and the PCDO delegate. On the third violation of university policy in a rolling 12 months, suspend the p-card for 60 days. The Senior Finance Group member will be copied on the suspension email notification. More than two instances of suspension in a rolling 12 months will result in permanent revocation of the p-card.

• Use discretion when releasing transactions where the dollar amounts are not the same between the documentation provided and the actual charge. The p-card holder will be asked to confirm transactions beyond a reasonable amount.

• Generate General Error Correction (GEC) if the p-card documentation is submitted to the electronic library after the transaction is auto released.

Kaizen #6: Define Roles & Responsibilities 30 Day Report

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Next Steps

• Identify responsibility for General Error Correction (GEC) if the p-card documentation is submitted after the transaction is auto released.

• Finalize MOU to be signed by department and BSC.

• Object code assigning; identifying who does this.

Barriers

Kaizen #6: Define Roles & Responsibilities 30 Day Report

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Kaizen #6: Define Roles & Responsibilities 30 Day ReportPcard Receipt Scanning at the Unit

Memo of Understanding (MOU) Unit____________________________________

Overview The unit is responsible for scanning the receipt, retaining the receipt for a rolling 12 months, and destroying the receipt. The unit is also responsible for adherence to all applicable policies with relation to procurement card purchasing, sensitive data, and record retention.

Scanning Collect original receipts from cardholders in a timely manner. Ensure that receipt is an original. If the

original receipt is not obtainable, provide explanation as to why. Ensure that provided business purpose is complete and included on receipt Ensure that the account is included on receipt. For sponsored, ensure that the account is allocable and

allowable for the expense. Ensure that the receipt is legible Ensure that all confidential/sensitive information is completely blacked out Receipts must not be altered in a way that is not obvious, helpful, and appropriate (e.g. circling items,

drawing arrows)

Retention Secure original receipts for a rolling 12 months after scanning. Basically, the current year and prior year

originals would always be on file. Recommend filing scanned receipts by scanning date Be prepared to retrieve the original receipt upon request if the scan is unreadable

Destruction

After the rolling 12 month retention period, destroy the receipts (render unreadable), e.g. via shredding. This is to be done annually in July.

This MOU is to be updated annually in July. List the individual(s) that will be doing the scanning: ____________________________________ __________________ Unit Approval Date __________________________________ __________________ FTC Approval Date

Research BSC Sample MOU

Signatures section not shown

Kaizen # 8: OSP Budget

Lead: Tara

• Separate Budget and Budget Narrative from Award• Collaborate with Vet on their Kaizen

Team: Tara, Norma, Gwen, Sherry T.

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Objective• Separate Budget and Budget Narrative from Award• Collaborate with Vet on their Kaizen

Progress• OSP is the only unit with authorized access to SharePoint sub-system in EZRA

to execute this task • Uploading of the sponsored budget and justification in the OSP portal would

benefit SFS, units and BSC/FTCs

Barriers• “OSP award processing procedures were designed to be efficient in processing

awards. Separating budgets and justifications, renaming, saving and uploading would nearly quadruple the time it takes now.”

Kaizen 8: OSP Budget 30 Day ReportTeam: Tara (lead), Norma, Gwen, Sherry T.

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Next Steps• Once electronic library (Kaizen #1) is implemented, determine

feasibility of: 1) establishing a post-award process in the college research offices to upload the award budget, or 2) add this process to the units receiving the award**;

• Determine support by senior administration to identify and deploy resources in OSP

• “Park” the Kaizen and add to a broader “compliance” Kaizen to be addressed at a later date.

** College research offices do not handle post-award processes; and budget no longer resides in the “office of record” for the award.

Kaizen 8: OSP Budget 30 Day Reportcontinued…