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

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

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

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

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

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

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

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

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

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

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

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

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

14. Accessing PAN

15. PAN Main Menu

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

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

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

19. EDB Update PAN

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

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

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

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

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

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

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

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

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

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

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

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

32. Time Reporting PAN

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

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

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

36. Reviewer “Inbox” Navigation

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

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

39. Inbox Selection Criteria Screen - continued

41. Selection Criteria Displayed NILE, INDY Selection criteria

42. BruinBuy/PAC PAN

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

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

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

46. Travel Express PAN

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

48. Transfer of Funds (TOF) PAN

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

50. Financial Systems Menu PAN Web Transfer of Funds

51. Transfer of Funds Menu

52. TOF for Temporary Budget Option The journal explanation will Appear on the “Comment” Section of PAN. No Spell Check!!!

53. The journal explanation will Appear on the “Comment” Section of PAN. No Spell Check!!! TOF for Temporary and Permanent Budget Option

54. Sample: Completed TOF

55. PAN Inbox Click on Doc Id.

56. TOF PAN This is transferred from the TOF “Journal Explanation” section

57. TOF PAN

58. Return to the Inbox and …. PAN Inbox

59. Click here to enter a checkmark. Then click the “Delete” box to drop the transaction from your Inbox. PAN Inbox

60. Departmental Deposit Form (DDF) PAN

61. DDF PAN JONES, JOHN DAVY JONES DJONES@UCLA.EDU (310) 825-0000 Mandatory Reviewer Read PO SEIDEN PSEIDEN@UCLA.EDU (310) 825-0001 Mandatory Reviewer Unread JOHN SILVER JSILVER@UCLA.EDU (310) 825-0002 Non-Mandatory Reviewer Read DJONES@UCLA.EDU PSEIDEN@UCLA.EDU JSILVER@UCLA.EDU Preparer: JOHN JONES Phone: (310) 825-0000 Email: JJONES@UCLA.EDU

62. Open Provision (OPV) PAN

63. OPV PAN Preparer: INDY NILE Phone: (310) 794-0000 Email: INILE@UCLA.EDU PAUL FARRAGUT PFARRAGUT@UCLA.EDU (310) 206-0000 Mandatory Reviewer Read DAVY JONES DJONES@UCLA.EDU (310) 206-0001 Non-Mandatory Reviewer Unread PFARRAGUT@UCLA.EDU DJONES@UCLA.EDU

64. PAN Audit File Two Options: Notification Selection Audit Review Access to both PAN Audit File options is controlled by DACSS functions: EA001 – Non-Payroll Transactions EA002 – Payroll Transactions  Access is controlled by Organizational Hierarchy Level and Code

65. Notification Selection Similar in format and logic to the current ASAP Audit File. Displays all PANs for the selected criteria. Lists each transaction once.

66. Notification Selection The PAN Audit Log will maintain a record of all transactions from the date of conversion (December 13, 2004) forward. The ASAP Audit Log will no longer record any new transactions after the date of conversion, but will be maintained in perpetuity. The ASAP Audit Log must be accessed for transactions entered prior to December 13, 2004.

67. Notification Selection

68. Notification Selection: Search Results NILE, INDY

69. Audit Review Provides a view of the Audit Log by individual Reviewer. Indicates the date that a Reviewer has opened a PAN. Allows monitoring of Reviewer performance.

70. Audit Review Click submit when ready

71. WEST, ARTHUR FARRAGUT, PAUL WEST, ARTHUR Audit Review Selection

72. Caution As a Reviewer, you must view a notification through your Inbox in order for the system to register the transaction as “read.” If a Reviewer opens an item in either the Notification Selection or the Audit Review features, the system will not record that the reviewer has opened the PAN.

73. Be Aware: Comments added to a PAN become part of the permanent PAN record. The system records to whom a PAN is forwarded and by whom.

74. Other Considerations: Web PAN will automatically time you out, if you do not actively use the system for 30 minutes. For security reasons, logging out requires the user to close the application and the browser. You will need to initiate a new session.

75. Other Considerations: Web PAN will work on the following browsers: Internet Explorer Netscape Mozilla Safari For other browser support, send email to AIS Access Services: as@smtp.ais.ucla.edu