Project Charter - WikiLeaks



Sony Pictures EntertainmentService ManagementBusiness RequirementsReportingNov 15, 2013Document ControlDateAuthorVersionChange Reference11/15/2013Liza Almeida1.0Initial DraftTable of Contents TOC \o "1-3" \h \z \u Document Control PAGEREF _Toc348525913 \h 2Document Purpose PAGEREF _Toc348525914 \h 4Document Scope PAGEREF _Toc348525915 \h 4Assumptions: PAGEREF _Toc348525916 \h 5General Requirements PAGEREF _Toc348525917 \h 5Exclusions PAGEREF _Toc348525918 \h 6Business Requirements PAGEREF _Toc348525919 \h 61.Vendor Duplicate PAGEREF _Toc348525920 \h 62.Vendor Change/Change back PAGEREF _Toc348525921 \h 73.Vendor Invalid PAGEREF _Toc348525922 \h 74.Voucher To Invalid Vendor PAGEREF _Toc348525923 \h 85.Voucher Duplicate Invoice ID PAGEREF _Toc348525924 \h 96.Voucher Duplicate Amount PAGEREF _Toc348525925 \h 97.Voucher Outlier PAGEREF _Toc348525926 \h 108.Voucher Line Outlier PAGEREF _Toc348525927 \h 109.Voucher Statistics PAGEREF _Toc348525928 \h 1010.Voucher Vendor SOD PAGEREF _Toc348525929 \h 1111.Payment Duplicate PAGEREF _Toc348525930 \h 1112.Split PO PAGEREF _Toc348525931 \h 1213.Split Non-PO and Ariba Payment Requests PAGEREF _Toc348525932 \h 1314.Invalid PO PAGEREF _Toc348525933 \h 1315.Voucher Predates PO PAGEREF _Toc348525934 \h 14Appendix PAGEREF _Toc348525935 \h 15Additional Information PAGEREF _Toc348525936 \h 15Excluded Companies (France/Austria) PAGEREF _Toc348525937 \h 16Excluded Companies (Nonconsolidated) PAGEREF _Toc348525938 \h 17Excluded Profit Centers PAGEREF _Toc348525939 \h 17Reviewed and Approved PAGEREF _Toc348525940 \h 18Document PurposeThe purpose of this document is to outline the detailed business requirements for Service Management reports.Document Scope This document includes the business requirements for the followingAssumptions:All Procure to Pay (PTP) data with the exception of two European countries (France, Austria) for fiscal year 2013 or beyond will be extracted and mapped from SAP and Ariba systems as a part of design and development effort. Filtering may be used to narrow the scope during Refinement Cycles.Source systems will include SAP and Ariba. Ariba data will be provided in the form of CSV files and will include only Approved documents (i.e., fully approved documents, and excluding those still in progress). The approval workflow will be provided by Ariba with the document Management Levels and COFA Limits recorded at the time of the transaction.For Refinement Cycle1, Integrity Checks will be processed for a selective number of company codes across various lines of business over a period of 12 months. This will be based on the input from the Business Users.International Marketing Spend Management (IMSM) transactions will be in scope (IMSM is a module within SAP), however, the workflow approvals for IMSM cannot be captured. All intercompany vendors are included in the Vendor Integrity Checks unless decided otherwise during refinement. Ariba Vendor Maintenance Request (VMR) data will be utilized to determine the requestor for new or changed vendors.Oversight PTP Application End user(s) will be able to aggregate and filter the information by the following identified attributes (if applicable per Integrity Check):Document TypeCompany Code/Company NameVendor Number/NameKeyword Match (Dropdown list populated based on the Integrity Check results)User ID/NameCost Center Number/ DescriptionProfit Center Number/ DescriptionMarket ID/DescriptionTerritory ID/DescriptionPurchasing Group (Lines of Business)Purchasing Organization (Territory) Vendor Type (See Appendix)General RequirementsEvery effort must be made to minimize false positives while also minimizing the risk of missing true positive exceptions. A manageable number of exceptions are critical to the success of this implementation. The Core Users (Corporate Compliance) should be able to view all the information associated with the exceptions. However, some of the Extended Users may or may not be able to view the specific criteria that generated the exception depending on the exception. This will be determined during refinement and based on Corporate Compliance input. The solution must be flexible enough to fine-tune the Integrity Checks over time.The solution design and information presented should be intuitive and descriptive to end user(s).ExclusionsJV and Nonconsolidated companies are considered out of scope and are filtered out. For a list of excluded Company Codes and Profit Centers please see Appendix. The filter can be modified or removed by Oversight Support at any time. Alternate payees will be linked and not considered duplicates.Reversing documents (with original matching entries) will be excluded from all Procure to Pay Integrity Checks. Hence, if a document is reversed it will not create an exception. However, reversal documents are captured as part of the Integrity Checks.Recurring Payments from Ariba and in SAP (if flagged as such) will be excluded. Business RequirementsThe objectives and the business requirements for each of the integrity checks are listed below. The business requirements are further broken down into the following sections:Primary Indicators/Triggers: This section lists the instances that will generate the exception for the specified Integrity rmational Indicators:This section lists additional instances that will be listed with each exception generated from Primary Indicators/Triggers. These Informational Indicators can be flagged as Primary Indicators/Triggers to generate exceptions based on user preference.Vendor DuplicateObjectives:Identify duplicate vendor records which in turn may lead to duplicate payments.Requirements:Primary Indicators/TriggersInformational IndicatorsIdentify vendors with the same or similar name.Identify vendors with the same or similar address.Identify vendors with the same Tax ID.Identify vendors with the same banking information.Same PhoneCreated by the same user (Creator in SAP or Requestor in Ariba to be defined during Refinement).The date of vendor Approval in Ariba (creation in SAP).Notes:Vendor master data may be changed only by a person with the same authorization group (in Ariba) as the vendor.Vendor Change/Change backObjectives:To identify occurrences where key vendor payment related data is changed then changed back within 30 minutes.Requirements: Primary Indicators/TriggersInformational IndicatorsChanges to vendor remit to address which is then changed back to the previous version.Changes to vendor banking info which is then changed back to the previous version.Notes:Will run approximately every 30 minutes (the timing to be finalized during refinement).This Integrity Check will run from cutover forward; no historical data will be rolled out in production other than for refinement.Vendor Invalid Objectives:To identify vendors with incomplete information and facilitate timely review of the vendor master to avoid payment errors.Vendors blocked globally or in all companies where a record exists are excluded. If a vendor is not blocked globally and not blocked in all companies they are considered an active vendor to be tested.Requirements:Primary Indicators/TriggersInformational IndicatorsFlag vendors containing specific keywords in Vendor Name. This could be either suspicious keywords or terms such as “Do Not Use”, “DNU” or “Inactive”.Identify incomplete vendor records, e.g., IBAN not entered (see appendix for the list of required countries).Vendor has had no activity in the last “N” months (Best practice is 18 months).Notes:For refinement purposes, the number of months a vendor is considered inactive and flagged will be 12. Voucher To Invalid Vendor Objectives: To identify vouchers for vendors identified as invalid. Requirements:Primary Indicators/TriggersInformational IndicatorsIdentify vouchers for vendors identified as invalid vendors (as defined by Integrity Check # 3 above).Voucher to a vendor flagged as Government Official (LFA1-STGDL).Voucher to a vendor that is blocked in a different Company Code.Voucher entered for T&E Purchasing Group but vendor is not an employee (only applicable for International Purchasing Groups).Notes:This Integrity Check will run from cutover forward; no historical data will be rolled out in production other than for refinement.Voucher Duplicate Invoice Objectives:To identify duplicate vouchers with the same or similar invoice numbers and vendor within 60 days.Requirements:Primary Indicators/TriggersInformational IndicatorsDuplicate invoice #’s/patterns. “N” or more consecutive invoice patterns (e.g., 000001 or 000001-000100 in succession from a vendor, etc.). One voucher invoice number with atypical format.Both vouchers have the same amount and currency. Both vouchers have the same amount but different currencies. Both vouchers are from the same vendor. Both vouchers have the same invoice date.One voucher has a longer invoice number.Both Vouchers have been paid.One of the vouchers has been paid.Voucher reversal for the same amount.Voucher with potential reversals for the same amount.Notes:Duplicate invoice patterns identify transpositions, prefix/suffix, and other similarities.Voucher Duplicate Amount Objectives:To identify duplicate vouchers with the same amount and vendor within 30 days.Requirements:Primary Indicators/TriggersInformational IndicatorsTwo vouchers have the same amount within 30 days for the same currency.Two vouchers have the same amount within 30 days for different currencies.Vendor is the sameNotes:This Integrity Check will run from cutover forward; no historical data will be rolled out in production other than for refinement.Test only above the specified amount, default to 5K.Reversed vouchers are excluded.Voucher Outlier Objectives:To identify invoice trends by vendor.Requirements:Primary Indicators/TriggersInformational IndicatorsVoucher Amount is outside the norm for this vendor.Invoice format is unusual for this vendor.Voucher Line Outlier Objectives:To identify invoice trends by WBS element.Requirements:Primary Indicators/TriggersInformational IndicatorsVoucher Line Amount is outside the norm for this job (WBS Element coding block in SAP).Voucher StatisticsObjectives:To provide a statistical summary of invoices in relation to Management Level Thresholds.Requirements:Primary Indicators/TriggersInformational IndicatorsLeveraging the COFA Purchase Requisition Approval framework, flag suspicious activity for further analysis. For example:Management level “X “has “N” vouchers within 5%.Creator has certain % (TBD) of vouchers within 5% of their approval level).Notes:Uses the 9 Approval Limits sent from Ariba in a CSV file. This will be used to view statistical patterns in invoice creation. It may eventually make more sense to run this IC periodically and not daily.This Integrity Check will be running historically and periodically (Monthly or Quarterly) to capture trends of Invoices submitted below the next Management Level Approver. Voucher Vendor SOD Objectives:To identify vouchers created by the same user who requested or maintained the vendor.Requirements:Primary Indicators/TriggersInformational IndicatorsVoucher created by user who maintains (changes or creates) vendor records in SAP.Notes:This may be common practice in Ariba. Controls are in place for proper approvals of vendor/invoice creation. Batch users (Interface Users) will be excluded from this Integrity Check (All Dialog Users will be included in the check):Users not in USR01Type B users from USR02Payment DuplicateObjectives:To identify duplicate payments for the same vendor and amount within 14 days.Requirements:Primary Indicators/TriggersInformational IndicatorsTwo payments have the same amount and vendor ID within “N” days (will start with14 days) for the same currency.Two payments have the same amount and vendor within “N” days for different currencies.Payee remittance information (Name, Address or Bank Account) is different.Payment was made from two different Company Codes.Payments have the same or similar invoice numbers.Notes:Statistical analysis will be incorporated to determine frequency of vendor payments. This will facilitate avoiding false positives where vendors are routinely paid on monthly cycle but not entered as a recurring payment. Split PO Objectives:To identify occurrences where POs are split to circumvent COFA controls.Requirements:Primary Indicators/TriggersInformational IndicatorsIdentify POs for the same vendor, within “N” days (will start with 1 day), where the amounts are under the Management Levels and COFA Limits but the sum of the PO amounts are above their respective Management Level.Notes:Management Levels and COFA Limits will be sent from Ariba and mapped into Oversight. Each PO will be compared to the appropriate Management Level in place based on the date/time of the PO creation and date/time of the Management Levels and COFA Limits in effect during that time. Split Non-PO and Ariba Payment RequestsObjectives:To identify occurrences where Non-PO and Ariba Payment Requests are split to circumvent COFA controls.Requirements:Primary Indicators/TriggersInformational IndicatorsIdentify Non-PO and Ariba Payment Requests for the same vendor, within “N” days (will start with 1 day), where the amounts are under the Management Levels and COFA Limits but the sum of the Non-PO and Ariba Payment Request amounts are above their respective Management Level.Notes:Management Levels and COFA Limits will be sent from Ariba and mapped into Oversight. Each Payment Request will be compared to the appropriate Management Level in place based on the date/time of the Payment Request creation and date/time of the Management Levels and COFA Limits in effect during that time. Invalid POObjectives:To Identify POs issued to vendors identified as invalid. To identify POs entered using an intercompany purchasing group and not with an intercompany supplier which would follow an alternative, less restrictive approval workflow.Requirements:Primary Indicators/TriggersInformational IndicatorsA PO is entered missing specific details or issued to an invalid vendor (invalid vendor as determined by Vendor Invalid IC).Intercompany purchasing group but not intercompany supplier. Voucher Predates POObjectives:To identify occurrences where the PO is created after receiving an invoice from the vendor.Requirements:Primary Indicators/TriggersInformational IndicatorsPO was created on or after the date the voucher was created. Notes:”List of POs Created after Invoice” custom report (YFMM_PO_INVD_COMPARE) exists for SAP which provides the same comparison but may not be widely used. AppendixAdditional InformationInvalid VendorA valid IBAN is required for vendors with bank accounts in the following countries:Ctry codeCountryADAndorraAEUnited Arab EmiratesALAlbaniaATAustriaAZAzerbaijanBABosnia and HerzegovinaBEBelgiumBGBulgariaBHBahrainCHSwitzerlandCRCosta RicaCYCyprusCZCzech RepublicDEGermanyDKDenmarkDODominican RepublicEEEstoniaESSpainFIFinlandFRFranceGBUnited KingdomGEGeorgiaGIGibraltarGRGreeceGTGuatemalaHRCroatiaHUHungaryIEIrelandILIsraelISIcelandITItalyKWKuwaitKZKazakhstanLBLebanonLILiechtensteinLTLithuaniaLULuxembourgLVLatviaMCMonacoMDMoldovaMEMontenegroMKMacedoniaMRMauritaniaMTMaltaMUMauritiusNLNetherlandsNONorwayPKPakistanPLPolandPSPalestinePTPortugalRORomaniaRSSerbiaSASaudi ArabiaSESwedenSISloveniaSKSlovakiaSMSan MarinoTNTunisiaTRTurkeyVGBritish Virgin IslandsExcluded Companies (France/Austria) Excluded Companies (Nonconsolidated) Nonconsolidated/JV Company Exclusions1227-Sony Pic. Cable Ventures5266-SPTIP Russia Inc.-Moscow1400-South Asian Regional Inve5267-Tuvalu Media B.V.1406-South Asian Regional Inve5268-Gogglebox Ent. Limited1407-South Asian Regional Inve5269-2JS Productions B.V.1414-HO Currency Upload Compan5271-OOO SPE (Russia)1421-3D NetCo LLC5275-HO Currency Upload Compan5067-Col. TS BV Films (Thai)5288-Intellygents BV5074-Pegasus TV S.A.S5297-SPR Argentina S.R.L.5083-Intl Film Distributors BV5298-Monumental Pictures, LLC5113-BV CT Films (Malaysia)5306-Teleset S.A.5136-SET Discovery Private Ltd5307-SPT Colombia Holdings Ltd5186-BV Col TS Films (Sgp) Pte5308-Floresta RA Ltda5186-Walt Disney SPRI (SG) Pte5310-Cable Direct Holdings Ltd5224-Starling SARL5312-HO Curr Upload Comp - LBP5225-Tiroc SAS5313-HO Curr Upload Comp - AED5228-Col. Pic. Industries, Inc5314-HO Curr Upload Comp - EGP5248-SPHE Hellas LLC5315-AXN Networks India Pr Ltd5255-Lean-M Ltd.5317-AXN Networks Philippines5265-Russia Upload8104-Bangla Entertainment PrivExcluded Profit Centers Profit Center Exclusions30236-A&E30235-HISTORY30245-ARGOS TV10052-India TH - BVI20061-Australia HE JV - Joint10066-India TH - Others20062-Australia HE JV - Universal10111-Korea Theatrical - BVI30237-BIO30240-MGM30106-Brazil Networks10053-Mexico Theatrical - BVI30106AJ-Brazil Networks - Adjustments10053AJ-Mexico Theatrical - BVI Adjustments30106RE-Brazil Networks - RE10053DJ-Mexico Theatrical - BVI DJ10050-Brazil Theatrical - BVI10053RE-Mexico Theatrical - BVI GAAP10050RE-Brazil Theatrical - BVI RE10053GA-Mexico Theatrical - BVI GAAP30239-CASA CLUB10099-Nordisk Film - Sweden30238-E!30242-QUEPASA10095-France Theatrical Gaumont10119-Russia TheatRussia Theat. - BVI10095RE-France Theatrical Gaumont - GAAP30241-SER10095GA-France Theatrical Gaumont - GAAP30246-SONY MUSI30244-GAMERS30243-WARPReviewed and ApprovedProgram Executive / Corporate ComplianceSignatureNameDavid MastalskiDate 2/22/13 Program Executive / Corporate FinanceSignatureNameNiloo RezaiDate SAP Functional LeadSignatureNameKate DaviesDate Business Lead/ Corporate ComplianceSignatureNameBrad YamasakiDate 2/12/13 Project Manager/ Corporate FinanceSignatureNameFauzia KhanDate ................
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