Level 2 Business Process Workflow: TRM – Treasury Management

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Level 2 Business Process Workflow: TRM – Treasury Management
Page 1 of 9
Version: DRAFT V1.3
Date: 06/04/2015
Acct’g
Event
Report
On
Page
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Pt
Int
Pt
Off Page
Steps Shaded Grey Indicate Activities Outside Florida PALM
Treasury
CSH 1.17 Add
Daily Cash
Receipt Data
A
PAY CP 2.21
Payroll Cash
Check
P2P CP 3.5
Wire Review
TRM 1.9 Determine Cash
Position by Account
TRM R2
Concentration
Account
TRM IP 1.8
Transmit
Transaction File for
Concentration
Account
Disbursement
Account
TRM R1
TRM IP 1.7
Transmit
Transaction File
for Main
Account
Custodial
Bank
Account
Document
Attachment
Decision or
Process Branch
Process
Activity
TRM 10.1 – Cash Position
P2P 3.1
Identify
Payments
TRM 1.5
Liquidity Account Feeds the
DDA Account with Available
Funds
TRM 1.4
Funds Deposited into the SPIA
Account Included in Overall
Custodial Bank Account
SPIA
Process
Start/End
TRM 1.1
SPIA Participants Deposit to
the SPIA Account
Are Funds Still
Needed to Cover
Payments?
TRM AE 1.10
Move all Available Funds
from Concentration
Account to Disbursement
Accounts to Cover
Needed Payments
No
TRM AE 1.11
Move Cash from
Custodial Bank
Account to
Disbursement
Account
Yes
Are
Excess Funds
Remaining in
Concentration
Account?
Yes
No
TRM 3.3
Purchase
Investments
TRM AE 1.12
Move Cash to
Custodial Bank
Account
End
TRM AE 1.14
Wire Funds from
Custodial Bank
Account to
Participant
Multiple
Times
per Day
Multiple
Times
per Day
TRM IP 1.6
Transmit
Transaction File for
DDA Custodial
Bank Account
Multiple
Times
per Day
Multiple
Times
per Day
TRM IP 1.2
Transmit
Transaction
File from SPIA
Application
TRM AE 1.3
Record SPIA
Balances
TRM 1.13
SPIA Participants Request
Funds from the SPIA
Account
A
TRM 1.15
Funds Received by SPIA
Participant
TRM –2Treasury
Level
Business Management
Process Workflow: TRM – Treasury Management
Page 2
4 of 9
5
Version: DRAFT V1.3
V1
Date: 06/04/2015
4/19/2015
Treasury
Agency
Document
Attachment
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Report
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Steps Shaded Grey Indicate Activities Outside Florida PALM
TRM AE 2.2
Wire Funds to
Federal Bank
Account
TRM CP 2.20
Reconciles
Federally
Mandated
Disbursement
Account Daily
A
TRM IP 2.4
Transmit Debit
Card, EFT & UC
WH Data
CSH 1.3
Deposit into
Bank
CSH 1.3
Deposit into
Bank
Federally Mandated
Disbursement Account
P2P 3.10
Issue Payment
TRM 2.10
Bank Makes Individual EFT
Payments
TRM AE 2.7
Florida PALM
records UC WH
Tax and EFT
Payments
(voucher)
TRM AE 2.8
Agency Records
Detailed
Accounting
Information (if
needed)
ARB 2.20
Update
Customer
Record
TRM 2.11
EFT Returns
TRM CP 2.21
Reconciles Federal
Bank Account
Monthly
B
TRM
R3
TRM
R3
TRM AE 2.5
Voucher Prepared
in P2P for
Debit Cards
A,B
TRM IP 2.9
Transmit EFT
Payment Data
TRM IP 2.12
Enter UC WH
Tax Data into
EFTPS
IRS
Decision or
Process Branch
Process
Activity
TRM 10.2 – Agency Federal Bank Account
TRM 2.1
Instruct Treasury to Leave Specific
Balances in the Concentration Account
and the Amount to Move to Other
Accounts
Federal Bank
Account
Process
Start/End
TRM 2.6
Bank Wire Funds to
Contract Vendor
TRM CP 2.16
Monitor and
Identify and new
transactions
TRM CP 2.18
Reconcile Accounts
Monthly
TRM
R4
TRM AE 2.17
Agency Records
Accounting Entries
to Reflect New
Transaction
Activity
TRM IP 2.14
Federally
Mandated
Disbursement
Account
Transactions/
Balance
TRM AE 2.19
Agency Records
Accounting Entry
to show Cash in
Bank Movement
A
TRM 2.13
Sweep Funds Due from
Federally Mandated
Disbursement Account
TRM 2.3
Receive Wire Transfer
TRM IP 2.15
Federal Bank
Account
Transactions/
Balance
B
Level 2 Business Process Workflow: TRM – Treasury Management
Page 3 of 9
Version: DRAFT V1.3
Date: 06/04/2015
TRM 3.1
Investment Group
Determines Investment
Allocation and Notifies
External Manager of their
Apportionment
Decision or
Process Branch
Process
Activity
TRM 10.3 – Investments
TRM 1.12
Move Cash to
Custodial
Account
TRM CP 3.11
Reconcile
Investment in
Florida PALM with
the Custodial Bank
Report
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A
TRM
R14
TRM AE 3.5
Record
Trade
Information
TRM 3.4
Trade Information Sent
and Confirmation
Returned
TRM R5
TRM AE 3.2
Record
Portfolio
Reallocation
TRM R7
TRM R6
TRM R8
Real Time
TRM R9
TRM
R10
TRM
R11
TRM AE 3.12
Record
External
Trade
Information
TRM
R14
TRM AE 3.14
Earned
Interest
Calculations
(Interest and
Fees both
accrual and
cash)
TRM 3.13
System Calculates Interest
and Fees Based on External
and Internal Trades
TRM
R14
TRM
R12
TRM
R13
Custodial Bank
TRM 3.9
External Managers’ Trade
Information Captured
TRM 3.8
External Managers’
Execute Trades
TRM 3.15
System Apportions
Investment Earnings and
Fees Based on ADB (by
Account/Fund)
TRM IP 1.2
Transmit
Transaction
File from SPIA
Application
TRM AE 3.16
Post SPIA
Apportionment
TRM IP 3.17
Transmit File
to SPIA App
TRM
R14
TRM
R4
TRM 3.7
Record Internal Trade
Information
CSH AE 2.7
Interest
Apportionment
CSH AE 2.5
Enter Amounts
to Invest/
Disinvest
TRM IP 3.6
Transmit
Internal Trades
File
External Trading
Partners
Document
Attachment
Acct’g
Event
Steps Shaded Grey Indicate Activities Outside Florida PALM
TRM 3.3
Purchase/Sell
Investment
Instruments
Treasury
Process
Start/End
TRM IP 3.10
Transmit Internal
and External
Trade
Transactions File
(Swift)
Real time
A
TRM AE 7.19
System
Apportions
TRM
R15
Level 2 Business Process Workflow: TRM – Treasury Management
Page 4 of 9
Version: DRAFT V1.3
Date: 06/04/2015
Process
Start/End
Decision or
Process Branch
Process
Activity
TRM 10.4 – Reconciliations
Interface
File
Acct’g
Event
Report
On Page
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Steps Shaded Grey Indicate Activities Outside Florida PALM
Treasury
Reconciliation/Verification Processes on
other flows
CSH CP 1.20
Compare Bank
Deposit Data
and Agency
Recorded Info
CSH CP 1.23
Review and
Monitor
Exceptions
CSH CP 3.8
Payment
Reconciliation
System
TRM CP 2.18
Reconcile Accounts
Monthly
TRM CP 2.20
Reconciles
Federally
Mandated
Disbursement
Account Daily
CSH CP 4.11
System
Reconciling
Detail to Total
CSH CP 4.13
System
Reconciliation
of Detail to
Agency ARB
Detail
TRM CP 2.16
Monitor and
Identify and new
transactions
TRM CP 2.21
Reconciles Federal
Bank Account
Monthly
TRM CP 3.11
Reconcile
Investment in
Florida PALM with
the Custodial Bank
TRM 4.1
Files Received
from Banks
Daily and OnDemand
TRM 4.4
Reconciliation
Process
TRM CP 7.9
Agency
Reconciliation
Process
Exceptions?
TRM 7.10
Monthly
Treasury
Reconciliation
of CRA
No
TRM CP 7.15
Monitor Cash Position
and Determine
Amounts Available for
Investment/
Disinvestment
Account
Reconciled
TRM
R4
Yes
Bank
TRM IP 4.2
Transmit
Custodial
Accounts
Investment
Data
TRM IP 4.3
SPIA BAI Data
Files received on other
process flows
CSH IP 1.6
Transmit
Daily BAI Data
CSH IP 1.7
Transmit
Addenda Data
CSH IP 3.7
Transmit Pay
and Warrant
Image Data
(BAI)
CSH IP 4.3
Transmit
Check
Return Data
CSH IP 4.6
Transmit
Foreign Item
Return Data
CSH IP 4.4
Transmit
ACH Return
Data
CSH IP 4.7
Transmit Check
Image Data
CSH IP 4.5
Transmit
Credit Card
Return Data
CSH IP 4.8
Transmit RA
Return Data
TRM IP 1.2
Transmit
Transaction
File from SPIA
Application
TRM IP 1.7
Transmit
Transaction File
for Main
Account
TRM IP 1.6
Transmit
Transaction
File for DDA
Custodial Bank
Account (BAI)
TRM IP 2.14
Federally
Mandated
Disbursement
Account
Transactions/
Balance
TRM IP 3.10
Transmit Internal
and External
Trade
Transactions File
TRM IP 2.15
Federal Bank
Account
Transactions/
Balance
TRM IP 7.7
Non-CRA Bank
Activity File
TRM 7.8
Non CRA Bank
Statement
TRM IP 7.6
Transmit Daily
File
Level 2 Business Process Workflow: TRM – Treasury Management
Page 5 of 9
Version: DRAFT V1.3
Date: 06/04/2015
Decision or
Process Branch
Process
Activity
TRM 10.5 – Outside Banking Services
Document
Attachment
Steps Shaded Grey Indicate Activities Outside Florida PALM
Treasury
TRM CP 5.2
Treasury
Reviews and
Evaluates the
Request
Approved?
Yes
Outside Bank
Account
Yes
No
No
No
5.3
Notifies Agency
Revolving
Fund?
Yes
TRM 6.1
Revolving
Fund Request
TRM 5.5
Issue Approval Letter to
Agency
End
TRM 5.6
Begin Using Banking
Services
Agency
Process
Start/End
TRM 5.1
Agency Requests
Outside Banking
Services
TRM CP 5.4
Set-up Bank
Account in
Florida PALM
CSH
R3
CSH
R4
Acct’g
Event
Report
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TRM –2Treasury
Level
Business Management
Process Workflow: TRM – Treasury Management
A&A
Page 6 of 9
5
Version: DRAFT V1.3
V1
Date: 06/04/2015
4/19/2015
R2R 1.1A
Agency Initiates
Request for Chart of
Accounts Update
Process
Start/End
Process
Activity
TRM 10.6 – Agency Federal Bank Account
Decision or
Process Branch
Document
Attachment
Acct’g
Event
Report
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Steps Shaded Grey Indicate Activities Outside Florida PALM
TRM CP 6.2
Review
Revolving
Fund Request
Approved?
No
End
Yes
Treasury
TRM CP 6.3
Determine
CRA vs. NonCRA Bank
Non-CRA
TRM
R17
TRM 6.4
Establish CRA Participant
Profile/Bank Account
TRM
R16
Agency
TRM 6.7
Set-up Bank
Account in Florida
PALM
CRA
TRM
R16
Notify
TRM 5.1
Agency Request
TRM 6.1
Revolving Fund
Request
CSH
R3
TRM
CP1
TRM 6.8
Establish Non-CRA
Bank Account
CSH
R4
TRM AE 6.9
Initial
Establishment
(invoice and
payment in
P2P)
TRM
CP1
CRA Bank
TRM CP 6.6
Treasury
Authorizes
Non-CRA
Bank Account
TRM 6.5
Revolving Fund Account
Established
TRM 6.10
Funds Deposited into
Bank Account
TRM 7.1
Expenditures
Level 2 Business Process Workflow: TRM – Treasury Management
Page 7 of 9
Version: DRAFT V1.3
Date: 06/04/2015
Process
Start/End
Process
Activity
TRM 10.7 – Operate Revolving Funds
Decision or
Process Branch
Document
Attachment
Acct’g
Event
Report
On
Page
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Steps Shaded Grey Indicate Activities Outside Florida PALM
TRM
R21
Treasury
A
TRM AE 7.14
Post
Transactions
from CRA File
into Florida
PALM
C
TRM CP 7.15
Monitor Cash Position
and Determine
Amounts Available for
Investment/
Disinvestment
TRM 7.16
CRA Funds Invested
or Disinvested in
SPIA
TRM
R20
TRM 7.17
Wire Funds to/from
SPIA/CRA
TRM AE 7.13
Transaction
Correcting
Entry
Internal
TRM 7.10
Monthly
Treasury
Reconciliation
of CRA
TRM AE 7.18
CRA Investment/
Disinvestment
Transactions are
Posted to Florida
PALM
Type of
Exceptions?
CRA Bank
TRM AE 3.16
Post SPIA
TRM
R15
TRM AE 7.19
System Apportions
Interest and Fees
Monthly Based on
ADB CRA Total (by
Account/Fund)
TRM 7.12
Contact CRA Bank, Resolve
And Communicate
Resolution with Agency
TRM IP 7.21
Transmit CRA
Investment
Transactions/
Balances to Agency
Business Systems
TRM AE 7.20
System Apportions
Interest and Fees to
Agency Participants
at the lowest level
TRM CP 7.9
Agency
Reconciliation
Process
A
TRM
R18
TRM
R20
TRM IP 7.7
Non-CRA Bank
Activity File
TRM
R18
TRM 6.10, 8.10
Funds
Deposited
TRM 7.1
Revolving Fund
Expenditures
Internal
TRM 7.2
Recording Revolving
Fund Activity in the
Account Register
Non-CRA Bank
CSH
R3
TRM 7.3
Replenishment
Amount Calculated
CSH
R4
B
TRM IP 7.6
Transmit
aa Daily
File
C
Type of
Exceptions?
TRM 7.11
Contact NonCRA Bank to
Resolve
End
TRM 7.8
Non CRA Bank
Statement
TRM IP
1
CRA Bank
Agency Revolving
Fund Mgr
Agency Reconciler
CRA Bank
A
TRM AE 7.4
Record
Revolving Fund
Replenishment
(invoice &
payment in
P2P)
TRM
R19
TRM 7.5
Funds Deposited
into Bank Account
B
Level 2 Business Process Workflow: TRM – Treasury Management
Page 8 of 9
Version: DRAFT V1.3
Date: 06/04/2015
Process
Start/End
Process
Activity
TRM 10.9 – Revolving Fund Closing/Balancing Change
Document
Attachment
Decision or
Process Branch
Acct’g
Event
Report
On
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Steps Shaded Grey Indicate Activities Outside Florida PALM
TRM CP 8.4
Review
Revolving
Fund
Request
Approved?
Increase or
Decrease/Close?
Decrease or
Close
TRM 8.6
Send Approval Letter
to Agency
End
End
A&A
Yes
TRM 8.5
Notify Agency
No
Increase
TRM 8.7
Send Approval Letter
to Agency
TRM 8.8
Send Copy of
Approval Letter to
Treasury
Agency Revolving
Fund Manager
Treasury
TRM
R22
End
TRM 8.1
Need to Change
Account Balance or
Close
Increase or
Decrease/Close?
Decease
Or Close
TRM 8.2
Write Check from
Revolving Fund and
deposited in CSH
Increase
TRM 8.3
Request to Increase/
Decrease or
Notification to Close
Account
TRM AE 8.9
Record Increased
Balance (invoice &
payment in P2P)
TRM 8.10
Funds Deposited
into Bank Account
No
Close Account?
TRM 7.1
Expenditures
Yes
TRM 8.11
Close Account in
Florida PALM
TRM – 2Treasury
Management
Level
Business
Process Workflow: TRM – Treasury Management
Treasury
Page 9
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Version: DRAFT V1.3
V1
Date: 06/04/2015
4/19/2015
Process
Start/End
Process
Activity
TRM 10.9 – CMIA
Decision or
Process Branch
Acct’g
Event
Report
On
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Steps Shaded Grey Indicate Activities Outside Florida PALM
TRM IP 9.1
AG File of
Audited SEFA
TRM 9.2
Calculate Top 90% of Grant
Programs Based on
Expenditures on Audited
SEFA (GAC identies grant as
CMIA)
TRM 9.5
Clearance Pattern Calculated
by Grant
TRM 9.6
Annual CMIA Report
Generated by CFDA
and Component
TRM
R23
TRM 9.8
Final Report Entered
and Original Signed
and Mailed
Payment/Claim?
TRM
R24
Payment
TRM 9.9
Voucher Created for CMIA
Payment
A&A
Agency
Document
Attachment
TRM 9.3
Grant Expenditures Occurring
in P2P
TRM 9.4
Federal Draw Occurs in ARB
Based on Anticipated or
Actual Grant Expenditure
Payments
TRM CP 9.7
Agency
Reviews
Report for
their Grants
Claim
TRM 9.10
Claim Submitted through ARB
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