Audit Recommendations for Fiscal Year 2008 Audit

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Summary:

While the Attorney General's Office was conducting the 2008 Fiscal Year audit a compilation of items was being tracked. These items identified an owner, description and completion date. Each of these tasks were either considered a Deficiency that was Rectified or a Recommendation that was Implemented.

Start Date:

January 5, 2009

Go Live:

July 15, 2009

End Date:

July 30, 2009

Current Milestone:

07/15/09 - Retention Policy posted

Stage:

Recently Released - Completed in last 3 months.

People

Sponsor/Champion:

Morgan Olsen, Executive Vice President and Chief Financial Officer

Lead Customer:

Gerald Snyder

Project Manager:

Sharan Johnson

Associate VP University Technology:

John Rome

University Technology Director:

Tina Thorstenson

More Info

Source:

Executive

Priority:

High

Scope:

The Auditors General office processed the FY2008 Financial Audit and have listed items of concern. Reviews, recommendations, implementation and delivery of these responses will be processed over the next Fiscal Year.

Establish requirements for retention/filing of Human Resource documents at the Department Level.

Establish Business Process Guides for Central Payroll.

Develop a method of identifying a current list of Advantage users.

Establish a method of identifying employees who have transferred from departments and reassign their roles/permission lists.

CRM Case #308386 - ASU_HR0022 Primary Job modifications

CRM Case #307150 - Additional pay changes

CRM Case #335765 - Restrict Min/Max salary for Job Codes

Security roles/permission lists based on Position.

Install lock-out features on ASU Systems.

Requirements for Test Plan documentation.

Involve Financial Services in processes.

Correct employees with invalid SSN (999-99-9999).

Ensure that PS passwords are not shared.

Enhance training to include retirements/benefits impacting all HR transactions. (Benefits)

Create Central Payroll guidelines for all processes and provide to HR/Payroll staff.

As modifications roll out of PS, the Business Analyst assigned to the functional team will create a Business Process Guide that includes navigation and how-tos.

Provide departments with comprehensive, updated Business Process Guides for AP, Time/Labor, and Manager Self Service (MSS), and training for each of these areas.

All Milestones and Schedule:

Owner/Business Analyst	Description	Stage/Completion Date
Deborah Wright	Policy Change - Establish clear and documented requirements for departments concerning retention/filing of authorizing documents for any PS transactions initiated in departments, including Additional Pay, Manager Self Service (promotions, terminations, transfers, chg in hours, etc.), and any other department-initiated transactions.	Completed in production: 7/17/2009
Myra Elias	Establish a Business Process Guide for Central Payroll for processing wage payments of deceased employees to ensure correct W2 and 1099 reporting, communicate information about the procedure to BOMs.	Completion Date: 6/30/2009
Rudy Bellavia	Establish a method to identify current Advantage Users.	Completed in production - 6/26/2009
Mark Koan	Establish a method of identifying employees who have transferred from departments and reassign their roles/permission lists. Project Plan - 6/10/09 - Complete Spec Development - 6/12/09 - Complete Development - 6/15-19 - Complete Test Plan - 6/19/09 - Complete Testing 6/22-26 - on Schedule to complete 6/26/09 Communication Plan - Complete	Completed in Production - 6/30/2009
Lissa Kelley	ASU_HR0022 Primary Job modifications	Completed - In Production
Myra Elias	A revised pay correction form is being developed to ensure that departments have an efficient method for sending corrections to HR/Payroll, since they will not have access to some earn codes that they previously could use in AP. HRIS Request Form submitted Scopt Defined In Development User Acceptance testing Document Business Process Guide	Completed In Production 3/31/2009
Lissa Kelley	Restrict Min/Max salary for Job Codes HRIS Request Form submitted Scope defined Modified Audit Reports Document Business Process Guide Prevent system entry to MSS AdHoc Salary Adjustment and eHire application	Stage 1 Completied in Production 3/2009 Stage 2 scheduled for completion 3rd Qtr 2009 - Move to FY 2009 Audit Recommendations
Myra Elias	Security Roles/Permission Lists based on Position.	Moved to HRIS Security Infrastructure
Noel Linder	Install lock-out features on ASU Systems.	Moved to Add CAPTCHA Challenge to ASU Weblogin SSO
Clara Adams	Requirements for Test Plan documentation Revise Business Technical Process Guide Identify/setup filing system on shared directory Document Testing Plan template	Completed In Production 2/27/2009
Myra Elias	Involve FS in payroll planning so reporting needs can be established.	Completed
Myra Elias	Correct employees with invalid SSN (999-99-9999).	On-Going
Myra Elias	Ensure that PS passwords are not shared.	On-Going
Kristen Micetic	Enhance training to include retirements/benefits impacting all HR transactions. (Benefits)	On-Going
Myra Elias	Create Central Payroll guidelines for all processes and provide to HR/Payroll staff.	On-Going
Kristen Micetic, Lissa Kelley, and Myra Elias	As modifications roll out of PS, the Business Analyst assigned to the functional team will create a Business Process Guide that includes navigation and how-tos.	On-Going
Lissa Kelley and Myra Elias	Provide departments with comprehensive, updated Business Process Guides for AP, Time/Labor, and Manager Self Service (MSS), and training for each of these areas.	On-Going