Procure to Pay cycle

AP

GeneralWhat are the sub-processes included in AP : Few examples given below

Vendor set up & MaintenanceScanning and storing documentsDate Entry of InvoicesRe-work ( analysis - follow-up & resolution)PaymentsControls ( Audit / Duplicate audit etc)Customer / Vendor ServiceCompliance ( 1099 & Escheatment)Perodic AP ClosingVendor Account ReconciliationAP Control Account ReconciliationOthers(Please provide FTE break up by activities mentioned above)

InputsIs AP processing invoices based on Physical Copy or images?If Images, what is the scanning process ( centralised or by each office or outsoruced)

What % of invoices are :Electronic ( Web, EDI, ERS, OB10 etc)Paper Invoice

What % of invoices are :PO(Purchase Order)Non-PO

Annual Volumes of invoicesElectronic

Please provide a diagram of current organization structure that supports P2P process(specify for type of service reqd in RFP / scope of work provided ) at all in-scope sites

Provide us the list of empoyees working in P2P process( sub-process beak up) for last 6 months. Include temp resources and also the % of overtime from your HR database

Paper

Average # of pages per invoice

Average # of line items per invoice

Is there any Foreign Language (Non-English ) Invoice?If yes, what % of total invoices is foreign language (break up by language)

Vendor details

How many vendors are existing in the AP database?How many of them are active?

Do we have the list of blacklisted vendors?

What % of vendors are eligible for discount as per their payment terms?

Are employee payments done through AP?

Is AP Responsible for 1099 reporting?

Is AP responsible for Escheatment?When was the last Escheatment done?

What % of your active vendors contribute to 80% of invoice volumes

System

What is the platform used for AP? (ex. Oracle, SAP etc)

What software, if any, is used for data capture? (OCR etc)

Is there any workflow tool deployed in the AP Process?If yes what workflow tool is being used?

Payment details

What % of payments are :Electronic (Wire / EFT)Check

Whats the payment cycle?(daily / weekly)

Is there a manual wire payment process?

Is there an Urgent/Expedited Payment process? ( Same day payment)

What % of checks return and how they are handled?

What % of remittance advices are manual?

ControlsIs there a repository of signature copies of each approver for verification?

Others

Whats are the top 3 concerns of existing AP Process?

Are there any seasonal fluctuation in invoices inflow, please mention the period of fluctuation?

What is the document retention policy for AP?\ (How long do paper and soft copies need to be retained)If it varies for each type of document, please provide details

MeasurementsWhat % of invoices are processed (posted in ERP) without re-work?

What are the top 3 reasons for re-work?

What % of inovoices are paid on time ?(either net due date / discount due date)

How does the approval process work for Non-PO based invoices? (Is it face approved or AP sends mails and gets their approval)

How effective is the existing duplicate edit check - how many duplicate during last 6 months (%)

What is the current process of checking accuracy of work done by AP clerk? (e.g. audit process)

Is there a documented internal process and system controls as per SOX ? Provide us a copy of sox control documents and process maps

How many invoices are in re-work (problem invoices queue) and whats the ageing?

What is the accuracy of data entry of invocies in the current process?

How many queries are from ?- Buyers / Requestor- Vendors

How many queries are by-Emails-Fax-Phone Calls

Is there a toll free/ Toll # for vendors to reach Accounts Payable?

Volumes breakup by language / Country

Clarity on usage of existing 3rd party service provicers ( scanning vendors etc)

Current volumes break up by Manual invoices and Electronic invoices

Existing process clarity with regard to imaging and storing images for processing and also clarity on usage of existing 3rd party service provicers ( scanning vendors etc)

Volume breakup by type of document (P2P - Invoices, set up request, expense statements etc)

Current capabilities like OCR, Invoice Exchange, EDI etc

First pass yield of invoices processed (both paper and electronic)

Current Duplicate payment control

Current Process Audit ( Accuracy check)

Current workflow capabilities (if any) and their plan to implement ERP workflow

Clarify on Check printing and supporting document handling capabilities

Customer comfort in enabling ERP integration with Workflow tool (either front end or backend)

Is there any Foreign Language (Non-English ) Invoice?If yes, what % of total invoices is foreign language (break up by language)Is there a documented internal process and system controls as per SOX ?Whats are the top 3 concerns of existing Invoice Processing Process?

What % of invoices are :PO(Purchase Order) Non-POUrgent invoicesChecksAnnual Volumes of invoicesPO (Paper invoices)Non PO (Paper Invoices)Debit balance ageing for the current monthDebit balance trend for the last 12 monthsIs AP processing invoices based on Physical Copy or images?What % of PO based invoices are :3 way matching2 way matching ( what is the matching criteria)

Average # of pages per invoice (separately for PO & Non PO invoices)Average # of line items per invoice (separately for PO & Non PO invoices)

Role of existing team leads and AP managers with regard to daily production ( Approving, verifying payments, handle reporting and period end closing etc

How many FTEs are currently engaged in Invoice Processing ? (split between Invoice processing & Error resolution)Are there process maps available, if so please provide the process maps? (like sub-process level.. activity level.. task level etc)Are there SOP's (standard operating procedure) for each of the sub-processes. How detailed are they? (High level documentation or task level documentation with screen shots)

Please provide the Invoice volumes for the last 12 months (month by month), separtely for PO & Non PO Invoices.

Average # of invoices processed by each operator per day (separately for PO & Non PO invoices)

How may fields do we need to enter at Line & header lever (separately for PO & non PO)

Is there a process of check requests/ Payment request?(Payment without invoices)How do you handle EDI / OCR kick outs ?How do you handle ERS failures ?Are there any Purchase Orders outside ERP systemIs there an approval authority matrix with limits for each approver?Is there a repository of signature copies of each approver for verification?

Current SLAs & performace during last 6 months (TAT, Paid on Time, Accuracy levels)

How does the approval process work for Non-PO based invoices? (Is it face approved or AP sends mails and gets their approval (with attachmemnt or withouattachment) or thru Workflow or no approvals required till certain limit)Is the person setting up the vendor different than the person processing the invoices? (Segregation of Duties)Whats the logic applied for duplicate edit check in existing platform (AP system)? (What critical fields system check)How effective is the existing duplicate edit check - how many duplicate during last 6 months (%)What is the current process of checking accuracy of work done by AP clerk? (e.g. audit process) (Sampling, fields,frequency, update to processor)Please provide the details of Debit memo process (which includes - recovery efforts, etc)Are there any tolerance levels for matching? (Price Tolerance, Quantity Ordered Tolerance, Quantity Received Tolerance, Tax Tolerance, Freight Tolerance?)What % of inovoices are paid on time ?(either net due date / discount due date) (Provide information separately for PO and Non PO Invoices)

Are there any seasonal fluctuation in invoices inflow, please mention the period of fluctuation?

What is the document retention policy for AP?\ (How long do paper and soft copies need to be retained)

This is requied to identify what needs to be handled by other poles

To design a scanning vendor and also to consider it while designing solution

Typically they would have some small vendor scanning their invoices. It will give clarity whether or not to include scanning in our solution

Will help in arriving at the current productivity levels for each type of document processed

To validate current FTE productivity and also to identify opportunity to move to electronic invoicing

Will help what kind of solution to be designedThis will help us to identify the potential to commit productivity. If they have too much of re-work (3 way mismatch, electronic invoice rejects etc, it would be difficult to commit high productivity numbers)

To design a duplicate audit process and also to project potential additional cost and FTE

To design an audit team. Additional FTE requirements if it not being done currently

To design a workflow solutionTo avoid duplicate data capture in workflow and ERPTypically we do not take check printing activities and in the absence of clarity, it will be difficult to design a process solution for attaching documents with payments etc

This will help in deciding whether or not to reduce supervison FTE from total FTE (upfront productivity) considering our standard span baked in our FTE pricing

Order to Cash

GeneralWhat are the sub-processes included in AR : Few examples given below

Customer set up & MaintenanceScanning and storing documentsDate Entry of InvoicesRe-work ( analysis - follow-up & resolution)ReceiptsControls ( Audit / Duplicate audit etc)Customer Service

Perodic AR ClosingCustomer Account ReconciliationAR Control Account ReconciliationOthers(Please provide FTE break up by activities mentioned above)

InputsIs AR processing invoices based on Physical Copy or images?If Images, what is the scanning process ( centralised or by each office or outsoruced)

What % of invoices are :Electronic ( Web, EDI, ERS, OB10 etc)Paper Invoice

What % of invoices are :SO(Sales Order)Non-SO

Annual Volumes of invoicesElectronicPaper

Please provide a diagram of current organization structure that supports OTC process(specify for type of service reqd in RFP / scope of work provided ) at all in-scope sites

Provide us the list of empoyees working in OTC process( sub-process beak up) for last 6 months. Include temp resources and also the % of overtime from your HR database

Average # of pages per invoice

Average # of line items per invoice

Is there any Foreign Language (Non-English ) Invoice?If yes, what % of total invoices is foreign language (break up by language)

Customer details

How many customers are existing in the AR database?How many of them are active?

What % of CUSTOMER are eligible for discount as per their payment terms?

What % of your active Customers contribute to 80% of invoice volumes

System

What is the platform used for AR? (ex. Oracle, SAP etc)

What software, if any, is used for data capture? (OCR etc)

Is there any workflow tool deployed in the AR Process?If yes what workflow tool is being used?

Receipt details

What % of receipts are :Electronic (Wire / EFT)Check

Whats the payment cycle?(daily / weekly)

Is there a manual wire payment process?

Is there an Urgent/Expedited Payment process? ( Same day payment)

What % of checks return and how they are handled?

What % of remittance advices are manual?

ControlsIs there a repository of signature copies of each approver for verification?

Others

Whats are the top 3 concerns of existing AP Process?

Are there any seasonal fluctuation in invoices inflow, please mention the period of fluctuation?

What is the document retention policy for AP?\ (How long do paper and soft copies need to be retained)If it varies for each type of document, please provide details

MeasurementsWhat % of invoices are processed (posted in ERP) without re-work?

What are the top 3 reasons for re-work?

What % of inovoices are paid on time ?(either net due date / discount due date)

How many invoices are in re-work (problem invoices queue) and whats the ageing?

What is the accuracy of data entry of invocies in the current process?

How many queries are from ?- Buyers / Requestor- Vendors

How many queries are by-Emails

How does the approval process work for Non-PO based invoices? (Is it face approved or AP sends mails and gets their approval)

How effective is the existing duplicate edit check - how many duplicate during last 6 months (%)

What is the current process of checking accuracy of work done by AP clerk? (e.g. audit process)

Is there a documented internal process and system controls as per SOX ? Provide us a copy of sox control documents and process maps

-Fax-Phone Calls

Is there a toll free/ Toll # for vendors to reach Accounts Payable?

Maintenance How do you maintain your Human Resources data? ProcessMaintenance How do you audit your Human Resources data? Process

Other Process

Other Process

Other Process

Reporting Process

Reporting Setup, Process

Reporting Setup, Process

Reporting Setup,Process

Reporting Setup

Reporting Setup

Reporting Setup

Reporting Setup

Reporting Setup

Reporting Setup,ProcessReporting Who receives a copy of the Human Resources reports? Process

Reporting Process

Reporting How do you update a Human Resources reports distribution list? Process

Reporting Process

Reporting Process

Reporting Process

Reporting Process

Reporting Setup,Process

Reporting Setup

Reporting Process,Performance

Reporting Setup,Performance

Reporting Process

Which operations/processes do you want to streamline for Human Resources? Which operations/processes do you want to eliminate for Human Resources? Are there any time-intensive Human Resources operations/processes that need to be addressed?What business performance statistics do you monitor for Human Resources?What are your Human Resources reporting requirements with respect to functional vs. foreign currencies?What are your Human Resources reporting requirements with respect to summary or detail formats? Obtain report listing.

What reports do you currently generate to meet your Human Resources reporting requirements? Provide examples of each. Include source (could be manual), user, frequency, or number of copies.Is there any Human Resources reporting requirement that your current set of reports does not meet?Are Human Resources reports standard across multiple Sets of Books, for example, subsidiaries?Are Human Resources reports standard across multiple levels within a Set of Books, for example, divisions? What account codes and/or descriptions are required on Human Resources reports?Do you provide a "key" of content/information somewhere on the Human Resources report?What Human Resources reports are grouped together on a regular basis and printed in one print run?

What is the criteria for determining who should receive a copy of any Human Resources report?

Is the process to update a Human Resources reports distribution list documented?How long does it take to update a Human Resources reports distribution list?How long should it take to update a Human Resources reports distribution list?Who performs the tasks associated with updating a Human Resources reports distribution list?Is there any requirement for online (softcopy) distribution and/or remote location printing for Human Resources reports?Do some of these Human Resources reports belong in report sets? Always being run together?Do the separate business units run their own Human Resources reports?

What type of printers do you run Human Resources reports (including checks, purchase orders, and so on) on? Where are they located?Do you run Human Resources reports for different companies or cost centers?

Security Process

Security Setup,ProcessSecurity Will there need to be terminal security for Human Resources? Setup

Security Do you run security reports on a regular basis for Human Resources? Process

Security Process

Security Setup,Process

Validation Setup

Benefits Setup,ProcessBenefits How is eligibility to your benefit plans determined? ProcessBenefits Are there waiting periods for your benefit plans? ProcessBenefits What are the criteria for your benefit plans? ProcessBenefits When is your open enrollment period? ProcessBenefits How do you handle interim enrollments? Process

Benefits ProcessBenefits How do you handle COBRA? Process

Benefits Process

Benefits What is the current or planned effective date of the benefit plan? ProcessBenefits Who are the carriers for this benefit plan? Process

Benefits Process

Benefits Process

Benefits Process

Benefits ProcessBenefits What are the termination rules for terminated active employee? ProcessBenefits What are the termination rules for death? ProcessBenefits What are the termination rules for transfers? Process

Benefits What are the termination rules for terminated COBRA participant? Process

Benefits Process

Benefits ProcessBenefits What are your deferred comp plan requirements? Process

Benefits Process

Do you have security requirements on who can enter data for Human Resources? (for example, by company? by cost center?)Do you have security reports on who can run Human Resources reports? (by company, by cost center, and so on)

Do you have documentation on your current system security requirements for Human Resources?Map each GL user to a menu structure. Will any new ones need to be created for Human Resources?

Do you review requirements for validation rules, allowing certain Human Resources accounts to be valid with only certain other values.

What types of benefit plans do you offer? List all the different benefits offered by your organizations (for example, Health and welfare, defined contribution, defined benefit, spending accounts, and flexible benefits)

How are benefits costs/price tags calculated and stored? (Employee costs, employer costs, etc.)

How are benefit costs/price tags calculated and stored? (Employee costs, employer costs, and so on) Describe the rounding rules used.

What are the dependent eligibility factors? (types of dependents and any restrictions or coverage differences)

What are the continuing eligibility rules for leave of absence, long term disability, short term disability? Are there any changes in the cost of the benefit? How is the money collected if the participant is not receiving a paycheck? What are the termination rules for active employee with a terminated benefit?What are the termination rules for dependent terminated from a benefit?

What are the Beneficiary eligibility rules? What are the rules regarding allocation amounts or percentages?What are the participation rules? What is the waiting period or grandfather rules?

How do you handle benefit elections for active employees vs. COBRA participants?

Benefits Process

Benefits ProcessEmployeeMaintenance Are COBRA actives treated differently than terminations? ProcessEmployee Maintenance How do you handle terminations? ProcessEmployee Maintenance How do you handle layoffs? ProcessEmployee Maintenance How do you handle seasonal reductions in workforce? Process

Employee Maintenance Process

Employee Maintenance Setup,Process

Employee Maintenance ProcessEmployee Maintenance How do you handle inter-departmental employee transfers? ProcessEmployee Maintenance How do you handle inter-divisional employee transfers? ProcessEmployee Maintenance How do you handle inter-company employee transfers? ProcessEmployee Maintenance What does your retiree processing entail? Process

Employee Maintenance ProcessEmployee Maintenance How do terminations affect other departments? ProcessEmployee Tracking Will employees be tracked? Setup,ProcessEmployee Tracking Will ex-employees be tracked? Setup,ProcessEmployee Tracking Will retirees be tracked? Setup,ProcessEmployee Tracking Will contractors be tracked? Setup,ProcessEmployee Tracking Will recruiters be tracked? Setup,ProcessEmployee Tracking Will other contacts be tracked? Setup,ProcessEmployee Tracking Will volunteers be tracked? Setup,ProcessEmployee Tracking Will trustees be tracked? Setup,ProcessEmployee Tracking Will board members be tracked? Setup,Process

Employee Tracking Setup

Employee Tracking Setup

Employee Tracking Setup

Employee Tracking Setup

Employee Tracking What benefit does this data provide to your organization as a whole? Process

Employee Tracking Process

Employee Tracking Process

Employee Tracking How are the hierarchies or organization charts structured? (Samples) SetupEmployee Tracking How are job grades structured? SetupEmployee Tracking How do you track headcounts? (by bodies, positions/jobs?) SetupEmployee Tracking What type of personal data do you need to maintain? Setup,PerformanceEmployee Tracking What job related (Assignment) data do you need to maintain? Setup,PerformanceEmployee Tracking What budgeting data do you need to maintain? Setup,Performance

What are the allowed changes for COBRA participants vs. active employees? (Such as changing dependent status, changing plans (adding/terminating/changing), or changing coverage amounts)What are the employee eligibility factors? (company, location, union association, salary, or job code)

What type of employee status changes occur and how are they handled? (FT to PT, LOA, or union to non-union)Do these status changes affect an employee's benefits and tax elections? How do status changes affect an employees benefits and tax elections?

What other events are significant in your management of human resources? Explain.

What personal information do you maintain: Personal? (Name, race, and so on)What personal information do you maintain: Address? (Primary, secondary residence, and so on)What personal information do you maintain: Emergency Contacts? (Name, address, and so on)What other information do you currently maintain on employees and other people types that is important to your organization?

What benefit does this data provide to certain entities within the organization?What benefit will data that you currently do not store electronically provide to your organization?

General Process

General Process

General Process

General Process

General Setup,Process

General Setup,Process

General Process,Metric

General Process,Metric

General Setup,Process

General Metric

General Process

General Process

General Process

General ProcessGeneral What type of Personal historical data do you need to maintain? Process

General ProcessGeneral What are your deferred comp plan requirements? Process

General Process

General Process

General Process

General Process

General Process

General ProcessGeneral Do you have licensing or certification requirements? ProcessGeneral What type of performance tracking do you do? ProcessGeneral Do you track disciplinary information? ProcessGeneral Do you do grievance tracking? Process

General What are our requirements for adding comments to your information? ProcessGeneral What are your online help/documentation requirements? Process

What was reason for purchasing/upgrading to the Human Resource application?What is the purpose of the relevant human resources systems/processes? What is the origin of the relevant human resources systems/processes (vendor or in-house)?Is there an existing entity relationship (E-R) diagram of the current human resources application?Describe the current geographical distribution of your business and/or employees?Describe the geographical distribution of your business and/or employees in the foreseeable future?What business areas and/or operations are targeted for improvement?What business areas and/or operations are targeted for re-engineering?Which of these business areas and/or operations are highest priority? Medium priority? Low priority?How do you see the application resolving your current deficiencies/issues?

What type of information is exchanged between the current human resources application and these other systems/processes?Can you provide a system flow diagram of connectivity between your core business applications?

Can you provide information flow schematics of the data passed/required between human resources and other connected/interfaced systems?

Is there any external data accessed directly by the human resources application (for example, GL Chart of Accounts, Payroll Master, or Benefits plans)?

What job related (Assignment) historical data do you need to maintain?

Define your interfaces/information to other systems/users for Time & Attendance Reporting?Define your interfaces/information to other systems/users for Labor Distribution Reconciliation?Define your interfaces/information to other systems/users for Benefits Carrier Reporting?Define your interfaces/information to other systems/users for Payroll System/Department?

Do you currently use or plan to install an Interactive Voice Response (IVR) or scanning technology system for human resources/benefits?Are there any other interfaces to other systems (Mainframe, PC, or manual) you have not told us about?

General ProcessGeneral Define your requisition process ProcessGeneral Do you have any testing information requirements? Process

New Hires Process

New Hires Process

New Hires Process

New Hires ProcessNew Hires How are interviews scheduled? Metric

New Hires ProcessNew Hires What information is tracked from the application or resume? Setup,ProcessNew Hires Do you do any affirmative action planning or reporting? Setup,ProcessNew Hires How is affirmative action planning or reporting done? Setup,ProcessNew Hires How is the data gathered in the new hire process? ProcessNew Hires When is the system updated in the new hire process? Process

New Hires ProcessNew Hires Do you attach a budget to your positions? SetupNew Hires How do you handle open positions? Process

Organizational MetricOrganizational Describe your management reporting structure? Setup,ProcessOrganizational Describe your financial reporting structure? Setup,Process

Organizational Metric

Organizational MetricOrganizational How are your organization charts generated? ProcessOrganizational How many views of your organizations do you have? Setup,ProcessOrganizational How often do your organizational structures change? Process

Organizational MetricOrganizational In which countries are your company worksites located? SetupOrganizational In which states are your company worksites located? Setup

Organizational In which counties/localities are your company worksites located? SetupOrganizational Does your organization/company have unions? SetupOrganizational How many unions do you have? MetricOrganizational How many bargaining units do you have? Metric

Organizational Metric

Organizational SetupOrganizational What are the are the durations of your union contracts? Setup,MetricOrganizational When will the existing union contract expire? Setup,ProcessOrganizational How many different contracts are negotiated? Metric

Do you need to track employee relocation information for special employee groups? For example, executives and sales force.

What event triggers a requisition in your organization? (Department request, departure of an incumbent, and so on)Is there an approval process to initiate a requisition? (budget available, management sign-off, and so on)

Please list details of pertinent information involved in the approval process, such as approval steps, authorizations, and so on.What type of recruiting activities occur? (Ad placement, interview scheduling, background checks, and so on.)

Do you track any information on your system concerning the interview? (Interview notes, comments, and so on)

How does the system update affect other departments? (payroll, benefits)

Number of other persons associated with organization/company (for example, Retirees, ex-employees, volunteers, and Board members)?

How many Federal and State Employer Identification Numbers (EINs) do you have? How many Federal and State Employer Identification Numbers (EINs) do you plan to have in the next one-two years?

How many worksites/locations does your organization/company operate?

Approximately what percentage of your employee population is associated with these unions?Which divisions or companies or subsidiaries or locations have union affiliations?

Organizational Setup,ProcessOrganizational Describe your other reporting hierarchies? SetupOther Which manual operations/processes do you need to automate? Process

Other Metric

Other Metric

Other MetricOther What historical information do you currently maintain? ProcessOther On what type of medium is this data maintained? ProcessOther What type of media storage do you plan on using? Process

Other Setup

Other Do you have a leave accounting system? (Vacation, Sick, or PTO) Setup,ProcessOther How do you track absences? ProcessOther Do you have any PC files in Lotus 1-2-3? ProcessOther Do you have any PC files in D-base? ProcessOther Do you have any PC files in Excel? ProcessOther Do you have any PC files in WordPerfect? ProcessOther Do you have any PC files in Word? ProcessOther Do you have any PC files in other programs? Process

Other Metric, Performance

Other Metric, Performance

Other Setup,Performance

Reporting Process

Reporting ProcessReporting Do you need company wide/consolidation reporting? ProcessReporting Do you need divisional/departmental/cost center reporting? ProcessReporting Who is currently responsible for creating or changing reports? ProcessReporting How easy and timely is it to create or change reports? Process

Reporting ProcessReporting Do you have a tool to do on-demand reports or queries? Process,PerformanceReporting What are your management reporting needs? ProcessSalary Do you administer salary/hourly step and ranges? ProcessSalary How does your system handle salary/hourly step and ranges? Process

Salary How is the salary portion of your union contracts administered? Setup,ProcessSalary When are your negotiation periods? ProcessSalary Do you do any salary impact studies during your negotiations? Process

Salary Setup,Process

Salary Setup,Process

What differences/commonalties are there between the different contract benefits offerings?

What is the total number of users who have/will have access to the human resources applications? How many users have/will have access to the human resources applications for updating information? How many users have/will have access to the human resources applications for reporting needs only?

What types of deductions do you need to track? (Benefits, child support, etc.)

How many key users have/will have access to the human resources applications? How many casual users have/will have access to the human resources applications?

Is there information you wish to maintain on employees and other people types that you currently do not store electronically? What are your federal/state mandated reporting requirements? (for example, EEO, Discrimination testing)Are you required to provide government/industry oversight reports? (for example, FCC, DOT, or DOE)

Concerning report generation, will the same responsibilities continue, or will they change? (for example, user responsible for report generation?)

Do you have a point-based weighting salary system? (for example, HAY) How is your point-based weighting salary system tracked on your system?

Salary Setup,Process

Salary ProcessSalary What factors are involved in establishing a salary increase? Process

Salary Process

Salary Process

Salary Setup

Security Setup,Process

Security Who is responsible for maintaining your security profiles? (DBA, IS) ProcessSecurity By type of user, define what data is available for viewing? Setup,ProcessSecurity By type of user, define what data is available for updating? Setup,ProcessSecurity By type of user, define what data is available for deleting? Setup,Process

Security Setup,Process

Security Setup,Process

Security By type of function, define what data is available for type of data? Setup,ProcessSecurity Define any security requirements. Process,PerformanceSkills Do you track skill assessments? SetupSkills How do you track skills assessments? Process

Skills ProcessMaintenance How do you maintain your Payroll data? ProcessMaintenance How do you audit your Payroll data? Process

Other Which operations/processes do you want to streamline for Payroll? Process

Other Which operations/processes do you want to eliminate for Payroll? Process

Other Process

Reporting What business performance statistics do you monitor for Payroll? Process

Reporting Setup, Process

Reporting Setup, Process

Reporting Setup,Process

Reporting Setup

Reporting Setup

Reporting Setup

What timing factors are involved in your salary and performance review process (Yearly, quarterly, or probationary?) Explain the processes involved in your salary and performance review process?

Concerning your forecasting requirements, do you do any workforce analysis reporting ? (budgets, job reduction, right-sizing, and so on)

Concerning your forecasting requirements, do you do any compensation analysis? (budgets, union negotiations, and so on)What types of earnings do you track? (Regular Pay, Overtime, and so on)At what levels do you currently secure users? (Company, organization, or field)

By type of function, define what data is available for level of organization?By type of function, define what data is available for type of employee?

How do you maintain training & development information? (Class attendance, schedules, and so on)

Are there any time-intensive Payroll operations/processes that need to be addressed?

What are your Payroll reporting requirements with respect to functional vs. foreign currencies?What are your Payroll reporting requirements with respect to summary or detail formats? Obtain report listing.

What reports do you currently generate to meet your Payroll reporting requirements? Provide examples of each. Include source (could be manual), user, frequency, or number of copies.Is there any Payroll reporting requirement that your current set of reports does not meet?Are Payroll reports standard across multiple Sets of Books, for example, subsidiaries?Are Payroll reports standard across multiple levels within a Set of Books, for example, divisions?

Reporting Setup

Reporting Setup

Reporting Setup,ProcessReporting Who receives a copy of the Payroll reports? Process

Reporting ProcessReporting How do you update a Payroll reports distribution list? Process

Reporting Process

Reporting How long does it take to update a Payroll reports distribution list? Process

Reporting How long should it take to update a Payroll reports distribution list? Process

Reporting Process

Reporting Setup,Process

Reporting SetupReporting Do the separate business units run their own Payroll reports? Process,Performance

Reporting Setup,Performance

Reporting Do you run Payroll reports for different companies or cost centers? Process

Security Process

Security Setup,ProcessSecurity Will there need to be terminal security for Payroll? SetupSecurity Do you run security reports on a regular basis for Payroll? Process

Security Process

Security Setup,Process

Validation SetupGeneral Describe your companies organization. SetupGeneral Include any organization hierarchy charts. Setup

General How many states and countries, if applicable, do you pay employees? Setup, MetricGeneral Do you have any unions or bargaining units? (How many? Process, Metric

General What system(s) do you currently use to process your payrolls? ProcessGeneral How many users? Performance, MetricGeneral How is the response time of your current system? PerformanceOther Do you have any PC files in: ProcessOther Lotus 1-2-3 ProcessOther Dbase? ProcessOther Excel? ProcessOther WordPerfect? Process

What account codes and/or descriptions are required on Payroll reports?Do you provide a "key" of content/information somewhere on the Payroll report?What Payroll reports are grouped together on a regular basis and printed in one print run?

What is the criteria for determining who should receive a copy of any Payroll report?

Is the process to update a Payroll reports distribution list documented?

Who performs the tasks associated with updating a Payroll reports distribution list?Is there any requirement for online (softcopy) distribution and/or remote location printing for Payroll reports?Do some of these Payroll reports belong in report sets? Always being run together?

What type of printers do you run Payroll reports (including checks, purchase orders, and so on) on? Where are they located?

Do you have security requirements on who can enter data for Payroll? (for example, by company? by cost center?)Do you have security reports on who can run Payroll reports? (by company, by cost center, and so on)

Do you have documentation on your current system security requirements for Payroll?Map each GL user to a menu structure. Will any new ones need to be created for Payroll?

Do you review requirements for validation rules, allowing certain Payroll accounts to be valid with only certain other values.

Other Word? ProcessOther Others? Process

Other Process

Other ProcessOther Do you have needs for scanning? ProcessOther What are your online help/documentation needs? ProcessPayroll How many active employees do you have? (FTE, if applicable) Metric

Payroll How many terminated employees do you have? (FTE, if applicable) Metric

Payroll How many pension employees do you have? (FTE, if applicable) Metric

Payroll How many dependent employees do you have? (FTE, if applicable) Metric

Payroll MetricPayroll How many employees support your payroll department? MetricPayroll Include a current payroll department organization chart. SetupPayroll Is your payroll department centralized or decentralized? Setup

Payroll Process

Payroll Process, MetricPayroll Walk through your current time entry process. Process

Payroll Process, MetricPayroll Include copies of time card/sheet if applicable. ProcessPayroll Walk through your current payroll processing cycle. ProcessPayroll What types of payroll frequencies? MetricPayroll What is the volume of employee per payroll? Metric

Payroll MetricPayroll How many taxing entities do you have? MetricPayroll Do you pay in states requiring city or local taxing? ProcessPayroll What taxing methods are used? Process

Payroll ProcessPayroll Are your employees automatically paid or time card required? ProcessPayroll Do you pay and track pension employees? Process

Payroll ProcessPayroll Do you have employees working in different shifts? ProcessPayroll Do you have any seasonal employees? ProcessPayroll What is your turnover rate? MetricPayroll Are salary increases done mid-pay? Process

Payroll What is the percent of salary employees vs. hourly employees? Metric

Payroll ProcessPayroll What types of standard hours are required? Process

Payroll Process

Do you currently use or plan to install an Interactive Voice Response (IVR) system for payroll?Are there any other interfaces to other systems (Mainframe, PC, or manual) you have not told us about?

How many non-employees (Contractors)do you have? (FTE, if applicable)

Walk through your current process of entering a new hire into your payroll system.Include timing aspects of how the new hire data is gathered, entered into the system and when the payroll is run.

Include timing aspects of how and when time is collected and entered into the system.

Include timing aspects of deadlines, elapsed time of process during payroll, and any production down time due to pay processing.

How are your employee statuss defined? (Ex. Active, on-leave, terminated, part-time, hourly, and so on)

If you have unions, do you track any additional information than you would for a non-bargaining employee?

Do you have a need for mass rate increases? Do they need to be done retroactively?

Do you have salary employees that have split their salary between multiple cost centers?

Payroll Do you have any special pay processing requirements? ProcessPayroll Is your overtime calculation standard? ProcessPayroll Do you process any garnishments? (Volume?) Process, Metric

Payroll MetricPayroll What kinds of deductions are currently set up on your system? Process

Payroll ProcessPayroll How are deductions entered? Process

Payroll Setup, MetricPayroll What kinds? ProcessPayroll Frequency? Metric, PerformancePayroll How are they entered? ProcessPayroll Do you process any shift differentials? ProcessPayroll Do you process any bonuses? ProcessPayroll Whats the calculation? ProcessPayroll Frequency? Metric, PerformancePayroll Do you pay commissioned employees? ProcessPayroll Do you do split week processing? What is the calculation? ProcessPayroll Is there a need for holiday pay to be automatically generated? ProcessPayroll Is there special processing required for holiday/PTO, etc. Process

Payroll ProcessPayroll Do you do tip processing? ProcessPayroll Do you pay 3rd party sick pay? ProcessPayroll What kinds of deferred comp plans do you have? Process

Payroll ProcessPayroll What kind of balances are kept? Process

Payroll Do you need to pay annuities, profit sharing distributions, and so on? ProcessPayroll How much historical data do you currently have? PerformancePayroll What types of data require history? PerformancePayroll What is your purge criteria? Performance

Payroll What is your check format like? Is it the same for all employees? ProcessPayroll What type of auditing do you require? Process

Payroll ProcessPayroll In what medium does the interface occur? ProcessPayroll What outside vendors do you interface to? ProcessPayroll Do you process an ACH tape for direct deposits? ProcessPayroll Do you receive one back for reconciliation? ProcessPayroll Do you have other non-ACH deposits? ProcessPayroll Do you currently use a labor distribution system? ProcessPayroll Is it part of the payroll system you currently use? ProcessPayroll Describe its structure. ProcessPayroll What other systems does labor distribution interface with? ProcessReporting What types of reports do you currently have? ProcessReporting Volume? PerformanceReporting Frequency? Performance

How many different types of deductions are currently set up on your system?

Are there different deduction frequencies currently set up on your system?

How many different payment types of deductions are currently set up on your system?

Are there different groups of employees that receive different holidays?

What kind of taxable perqs do you process (for example, company car, company plane, awards, contest, prizes, merchandise, employee discount, or relocation)?

What other systems do you interface to? (General ledger, personnel, benefits, and so on)

Reporting Get 1 page sample of all reports. (Include sort & breaks) ProcessReporting Who is responsible for submitting on-demand report requests? ProcessReporting Who is responsible for creating or modifying reports? Process

Reporting What tool does this person(s) use for creating or modifying reports? ProcessReporting How long does it take to create or modify reports? Metric, Performance

Business What type of industry are you in? ProcessBusiness What products and services do you provide? ProcessBusiness Number of employees? Metric

Business Describe/share your Corporate/Organizational Vision Statement. ProcessBusiness Describe/share your Departmental/Divisional mission Statement. Process

Business Process

Business Which of these business areas and/or operations are highest priority? Process

Business Process

Business Which of these business areas and/or operations are low priority? Process

Business ProcessBusiness What is your organizational structure? ProcessBusiness How many businesses are in your company? MetricBusiness What is the structure or relationships of these businesses? Process

Business Metric,ProcessBusiness Do all the locations have the same chart of accounts? SetupBusiness Do all the locations have the same calendar? SetupBusiness Do all the locations have the same functional currency? SetupBusiness Do you use more than one Set of Books? Setup,ProcessBusiness Do all the businesses have assets? ProcessBusiness Do all the cost centers have assets? ProcessBusiness What is your accounting calendar? Process,SetupBusiness What is your organizational structure? ProcessBusiness How many businesses are in your company? MetricBusiness What is the structure or relationships of these businesses? Process

Business ProcessBusiness What information is shared across different businesses? MetricProcess

Business Metric,ProcessBusiness Do all the locations have the same chart of accounts? SetupBusiness Do all the locations have the same calendar? Setup

Business SetupBusiness Do you use more than one Set of Books? If so what are they? Setup,Process

Business Do you have more than one legal entity within the same set of Books SetupReporting What across business reporting is currently performed Setup

Period Close How do you close an accounting period for Quality Management? Process

BASE LINE DATA

What business areas and/or operations are targeted for improvement?

Which of these business areas and/or operations are medium priority?

Can you provide a systems flow diagram of connectivity between your core business applications?

On how many sites are these companies located? What are these sites?

Which business functions are performed centrally, which business functions are decentralized ?

How many sites are these companies located? What are these sites? Where are these sites located ?

Do all the locations have the same functional currency?If not what are they?

Please provide the number of accounts reported unreconciled in last monthPlease provide the # of accounts reported unreconciled consecutively for last 3 months

OTHER INFORMATION

Please advise if all back ups for balances are available

Please advise how are the back ups stored

Please provide what is the typical volume of inflow of items to be matched and what is the broad percentage of the items that match to those unmatched (all approx figs)Please clarify the frequency of subsystem posting to GL - weekly, monthly, dailyPlease provide the data on how many accounts have aged open items as a % to the total population of accountsPlease provide data on how many unmatched variances have to be resolved per month approx

For NA and Europe please provide FTE wise split of account reconciliations.Please provide the number of reconciliation templates prepared by individual FTE, i.e., how many accounts are done per reconcilerPlease clarify if the accounts are segregated as High risk and low risk and what are the numbers of the same.

Please clarify how many reconcilers are there at the businessPlease explain how do you identify the number of accounts to be reconciled for a period. Is it using a standard list or taking a list from the GL?Please provide the % of cash reconciliations to total reconciliationsHow many banks? (please provide names of institutions) , Please advice if the Bank Statements are in manual or a soft copyPlease clarify if there is a centralized corporate banking system used. System that can manage multiple banks and bank accountsPlease provide which are the accounts that has high amount of variances and what is the possible reason for the sameName the accounts Please advice if all the balances are itemized and detailed break ups are available Please clarify if there are old unresolved balances in the businessPlease clarify how important is language in the reconciliation process

Please explain if the details of the location of backups are specified on the reconciliation templatePlease clarify if the subsystem posting to GL - is automatic or manual

Please advice if there are GAPs between subsystems and GL during close.Please provide a listing of how many aged open items exist ( in number and in $ value)Please explain what are the typical root causes of open items being observed in the businessWhen was the internal Audits (if any) performed on account reconciliations and what were there major observations?Does Delphi have a documented policy for reconciling accounts, criteria for declaring an account reconciled/unreconciled?In case of timeliness for account reconciliations, please provide the Delphi definition of reconciled accounts. Also provide the action standards, if any that has been determined by Delphi to ensure that the targets are achievable.

Please also fill in the attached account reconciliation template. This is only a sample - Delphi may use a different format if necessary to provide us similar data

What is the account reconciliation review policy ? How frequently are they reviewed, is the coverage 100% for every cycle, if the reviews are done on samples, how are they selected for review?

How are the variances detected during the account reconciliations dealt with in the reporting processDoes Delphi have accounts in the nature of Suspense/Clearing/Control accounts? Do we have a documented policy relating to transaction hitting these accounts - how long they can remain in these accounts etc.

Does Delphi have the practice of aging the variances detected by account reconciliations? How would the analysis typically look like?Does Delphi manage a central repository of Accounting Policies which gets updated regularly on an intranet site?Typically what is the time difference between Sub-system close and GL close? How does Delphi deal with the true-up?Where are the Account Reconciliations stored and for how long?How does Delphi deal with Accounting Policy differences between US and other countries - Are accounting done primarily on US GAAP basis and adjustments made to Stat Books or vice versa?

How are Sox compliance activities performed - as part of Internal Audit or respective accounting departments

How long have the current accounting systems/sub-systems been in use? How stable are they? Are there any major issues in the implementation still remaining unresolved? What is the number of Manual JEs and relating to which modules does Delphi have to pass to close the books? On what basis are these JE's passed?

What review mechanism does Delphi adopt to ensure that GAAP/Delphi accounting policies are followed while accounting for transactions? Preventive and Detective mechanisms to eliminate accounting errors

What is the structure of Internal Audit team? What are its key deliverables?

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Bank ReconciliationHow many banks you deal with? Give detailsGive the branch details and account numbers and type of accountsWhat are the conversion rates you use?What are the currencies you are dealing with?Do you hedge your positions?How do you deal with exchange rate fluctuation at the time of matching?What are the bank charges levied on transactions?What is the overdraft facility offered by the bank to the company?What are the probable reasons for difference between bank account and company books?How inter company funds transfer is facilitated by the bank?how bounced cheque and cheque cancellation is dealt

What is the frequency and mode of receipt of bank statement from bank?How is Inter bank transfers done

Bank ReconciliationProcess

ProcessProcessProcessProcessProcessProcessProcessProcessProcess

ProcessProcess

Bank Reconciliation

Procure to PayOrder to cashPayroll and HRGeneralBank recon