Auditing PeopleSoft HRMS

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Auditing PeopleSoft HRMS

• Session 444
• March 17, 2003
• 345 p.m. 445 p.m.
• HEUG 2003 Conference - Dallas

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Jennifer J. Donald HRMS Security and Reporting
Specialist
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Jennifer J. Donald is a MIS Security and
Reporting Specialist with the City of Tallahassee
with responsibilities over PeopleSoft HRMS
Reporting and Security Administration. The City
of Tallahassee is live on PeopleSoft HRMS version
8.3. Mrs. Donald has extensive experience in
providing training for the PeopleSoft Query Tool.
She has been employed with the City of
Tallahassee for 11 years where she worked as an
Internal Auditor with the City for five years and
with the PeopleSoft HRMS system. Mrs. Donald has
worked with Eastman Kodak Company and Honeywell.
She is a member of the Institute of Internal
Auditors, the National Association of Black
Accountants, and the Information Systems Audit
and Control Association.
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You have been asked to do an audit of
PeopleSoft HRMS applications and you need a good
starting point. This session will focus on how
you can audit transactions, rules, and processes
in PeopleSoft HRMS.We will focus on specifics
in PeopleSoft HRMS such as pay rates, hours,
additional pays, deductions, manual checks, lump
sum payments, two paychecks in the same period,
paychecks after terminations and ghost employees.
We will identify the key tables you will need to
audit transactions and receive an audit program
covering the material in the session.   
Synopsis of Presentation
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Agenda

• Overview of PS HRMS 8.3
• (HR, Benefits, Payroll, and Time
  Labor/Attendance)
• PS HRMS 8.3 Key Terms
• PS HRMS 8.3 Key Pages/Navigation
• Audit Approach (Transactions, Rules, and
  Processes)
• HRMS Audit Program (Hand-Out)

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Overview of PeopleSoft HRMS 8.3
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Overview of PeopleSoft HRMS 8.3

• HR (Human Resources)
• Benefits
• Payroll
• Time Labor/Attendance
• Business Rules
• Diagram of PeopleSoft Payroll Process

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Overview of PeopleSoft HRMS 8.3

• HR
• (Human Resources)

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Overview of PeopleSoft HRMS 8.3 HR (Human
Resources)Navigation Home-Administer
WorkforceAdminister Workforce (GBL)

• Human Resources allows you to manage your HR
  business processes -
• from recruitment to retirement. Your
  organization can pull external
• information into employee self-service
  applications and manage self-service
• applications. You can manage your workforce more
  strategically with
• analytics for more efficient and effective
  decision-making.

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Overview of PeopleSoft HRMS 8.3 HR (Human
Resources)Navigation Home-Administer
WorkforceAdminister Workforce (GBL)
This is where HR data is stored.
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Overview of PeopleSoft HRMS 8.3HR (Human
Resources)Navigation Home-Administer
WorkforceAdminister Workforce (GBL)
This is where HR data is stored.
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Overview of PeopleSoft HRMS 8.3

• Benefits

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Overview of PeopleSoft HRMS 8.3 BenefitsNavigati
on HomeCompensate EmployeesAdminister Base
Benefits

• Benefits (eBenefits) gives employees instant
  access to personalized
• benefits information and self-service
  transactions. From one summary
• web page, employees can view personalized
  benefits information at a
• glance and make changes to benefit elections as
  necessary.
• Types of Benefits
• Medical
• Dental
• Vision
• Retirement

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Overview of PeopleSoft HRMS 8.3BenefitsNavigati
on HomeCompensate Employees-Administer Base
Benefits
This is where Benefits data is stored.
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Overview of PeopleSoft HRMS 8.3BenefitsNavigati
on HomeCompensate EmployeesAdminister Base
Benefits
This is where Benefits data is stored.
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Overview of PeopleSoft HRMS 8.3

• Payroll

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Overview of PeopleSoft HRMS 8.3 PayrollNavigation
HomeCompensate EmployeesMaintain Payroll
Data (US) or Manage Payroll Process (US)

• With PeopleSoft Global Payroll, you define rules
  for calculating a
• payroll without modifying or customizing code.
  The core application
• contains no payroll rules and no preset sequence.
  Instead, you create and
• store the rules as data entered through the
  online pages. These rules drive
• the system's core application, defining the
  actual payroll process.

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Overview of PeopleSoft HRMS 8.3PayrollNavigatio
n HomeCompensate EmployeesMaintain Payroll
Data (US) or Manage Payroll Process (US)
This is where Payroll data is stored.
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Overview of PeopleSoft HRMS 8.3PayrollNavigatio
n HomeCompensate EmployeesMaintain Payroll
Data (US) or Manage Payroll Process (US)
This is where Payroll data is stored.
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Overview of PeopleSoft HRMS 8.3

• Time Labor/Attendance

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Overview of PeopleSoft HRMS 8.3 PeopleSoft Time
Labor/Attendance Navigation HomeCOT Custom
MenuManage Payroll-Process

• PeopleSoft Time and Labor provides a
• single point of entry for time-related
• data. Supervisors can view, edit, and
• approve all time through the internet,
• giving them a greater sense of control.
• You may be using a third party such
• as Kronos.

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Overview of PeopleSoft HRMS 8.3Time
Labor/Attendance Navigation HomeCOT Custom
MenuManage Payroll-Process
This is where Time Entry processes are
maintained.
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Overview of PeopleSoft HRMS 8.3

• Defining Business Rules

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Overview of PeopleSoft HRMS 8.3 What Are Business
Rules?

• Business Rules are rules that drive your system.
• Your implementation team establishes or develops
• your business rules.
• Examples of Business rules are as follows
• Defining your Earnings (Housed on the Earnings
  Table)
• Defining your Deduction (Housed on the Deductions
  Table)

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Overview of PeopleSoft HRMS 8.3 What Are Business
Rules?

• Examples of Earnings
• Regular Pay
• Clothing Allowance
• Tool Allowance
• Overtime Codes
• Firefighter Physical Fitness Allowance
• Lump Sum Award
• PeopleSoft Team AllowanceJ

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Overview of PeopleSoft HRMS 8.3 What Are Business
Rules?

• Examples of General Deductions
• Parking
• Garnishments
• Coffee and Tea
• Police (PBA) Dues

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Overview of PeopleSoft HRMS 8.3 Defining Business
Rules Navigation HomeDefine Business
Rules-Define Payroll Process-Setup
Choose what you want to define.
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Overview of PeopleSoft HRMS 8.3 Defining Business
Rules Navigation HomeDefine Business
Rules-Define Payroll Process-Setup
Examples of Earnings Codes
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Overview of PeopleSoft HRMS 8.3 Defining Business
Rules Navigation HomeDefine Business
Rules-Define Payroll Process-Setup
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Overview of PeopleSoft HRMS 8.3

• Diagram of PeopleSoft Payroll Process

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(No Transcript)
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PS HRMS 8.3 Key Terms
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PS HRMS 8.3 Key Terms

• EMPLID Field identifying the Employee ID
  number.
• ESFFSEQ (Effective Sequence) Field used to
  indicate when more than one type of action
  happens on the same day.
• Hire 0
• Transfer 1
• Raise 2

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PS HRMS 8.3 Key Terms

• EFFDT (Effective Date)- A field referencing
  the day information that a row of data in a table
  became effective.
• HOURLY_RT (Hourly Rate) A field indicating
  the Employees Rate of Pay (quoted hourly for
  general employees).

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PS HRMS 8.3 Key Terms

• ANNUAL_RT (Annual Rate) A field referencing
  the annualized salary for an employee, based on
  his standard hours.
• ADDL_PAY_DATA A table that stores the
  additional pay detail required to create
  additional payline records during paysheet
  processing.

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PS HRMS 8.3 Key Terms

• ERNCD (Earnings Code) A field representing
  all earnings codes in the earnings program table.
  Examples of earnings codes would be
• Regular Pay
• Overtime
• Car Allowance
• Tool Allowance
• Clothing Allowance
• Executive Allowance

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PS HRMS 8.3 Key Terms

• EARNINGS_TBL - The Earnings Program table houses
  earnings codes and is the basis for how earnings
  are calculated and taxed.

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PS HRMS 8.3 Key Terms

• DEDCD (Deduction Code) The deduction table
  contains deduction codes which define deductions
  for the organization. The deduction code table
  is used by payroll and payroll interface.
  Examples of deduction codes would be
• Parking
• Garnishments
• Coffee and Tea
• Police Benevolent (PBA) Dues

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PS HRMS 8.3 Key Terms

• PAY_RUN_ID - A pay run ID is a key field and a
  unique identifier for each pay cycle. The pay
  run ID appears on the Pay Calendar. Examples of
  Pay Run IDs are as follows
• 301 Represents the first Bi-weekly pay run in
  the year 2003.
• The first number in the pay run id 3
  represents the year
• (2003) and the last two numbers 01
  represent the pay
• run, for example 01 represents the 1st
  pay run run for
• year 2003.
• 302 2nd pay run ID in year 2003

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PS HRMS 8.3 Key Terms

• Pay_Sheets- Paysheets represent a snapshot of the
  employees amount of regular pay, additional pay,
  if any, department and location information and
  tax data which creates a payline for each
  employee. Several paylines are grouped to form a
  paysheet page. Paysheets exist for the current
  payroll and are removed after pay calculation.

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PS HRMS 8.3 Key Terms

• Pay Calc The pay calculation process is the
  process that allows you to rerun calculations
  over and over again. Each time pay calculation
  is processed you have the option of specifying
  whether calculations should be performed for all
  employees or only as needed.

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PS HRMS 8.3 Key Terms

• Pay Confirmation During pay confirmation the
  system updates check and advice numbers and all
  to-date payroll information, such as
• Earnings
• Deductions
• Arrears
• Taxes
• Direct Deposit distributions
• U.S. Savings bonds
• Leave Accruals

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PS HRMS 8.3 Key Pages/Navigation
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Overview of PS HRMS 8.3 Key Pages/Navigation

• Job Data
• Additional Pay
• Direct Deposit
• Paysheet/Pay Calc/Pay Confirmation

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Overview of Key Pages

• Job Data Home-Administer Workforce-Administer
  Workforce (GBL)-
• Use-Job Data

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Overview of Key Pages/Panels

• Additional Pay (Home-Compensate
  Employees-Maintain Payroll
• Data (US)-Use-Additional Pay)

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Overview of Key Pages/Panels

• Direct Deposit Home-Compensate
  Employees-Maintain Payroll Data
• (US)-Use-Direct Deposit

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Overview of Key Pages/Panels

• Paysheet Creation/PayCalc/Pay Confirmation
  Home-Compensate
• Employees-Manage Payroll Process
  (US)-Process

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Audit Approach
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Audit Approach

• Transactions
• Rules
• Processes

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Audit Approach

• HOW???
• via PeopleSoft Query Tool
• via Microsoft Access
• via ACL Tools
• via Auditing Tools

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Audit ApproachTransactions

• Payrates
• Hours earned
• Additional Pays
• Manual Checks
• Lump Sum Payments
• Ghost Employees
• Two Paychecks same pay period

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Audit ApproachTransactions Payrates
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Audit ApproachTransactions Payrates
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Audit ApproachTransactions Payrates
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Audit ApproachTransactions Payrates
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Audit ApproachTransactions - Hours Earned
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Audit ApproachTransactions - Hours Earned
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Audit ApproachTransactions - Hours Earned
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Audit ApproachTransactions - Hours Earned
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Audit ApproachTransactions - Additional Pays
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Audit ApproachTransactions - Additional Pays
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Audit ApproachTransactions - Additional Pays
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Audit ApproachTransactions - Additional Pays
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Audit ApproachTransactions - Additional Pays
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Audit ApproachTransactions - Manual Checks
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Audit ApproachTransactions - Manual Checks
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Audit ApproachTransactions - Manual Checks
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Audit ApproachTransactions - Manual Checks
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Audit ApproachTransactions - Lump Sum Payments
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Audit ApproachTransactions - Lump Sum Payments
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Audit ApproachTransactions - Lump Sum Payments
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Audit ApproachTransactions - Lump Sum Payments
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Audit ApproachTransactions - Ghost Employees
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Audit ApproachTransactions - Ghost Employees
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Audit ApproachTransactions - Ghost Employees
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Audit ApproachTransactions - Ghost Employees
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Audit ApproachTransactions Two paychecks same
pay period
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Audit ApproachTransactions Two paychecks same
pay period
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Audit ApproachTransactions Two paychecks same
pay period
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Audit ApproachTransactions Two paychecks same
pay period
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Audit ApproachRules

• Earnings Table
• Deductions Table
• Benefits Plan Table

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Audit ApproachRules - Earnings Table
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Audit ApproachRules - Earnings Table
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Audit ApproachRules - Earnings Table
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Audit ApproachRules - Earnings Table
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Audit ApproachProcesses/Reports

• PSPRCRQST (Process Monitor)

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Audit ApproachProcesses/Rules PSPRCRQST
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Audit ApproachProcesses/Rules PSPRCRQST
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Audit ApproachProcesses/Rules - PSPRCRQST
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Audit ApproachProcesses/Rules - PSPRCRQST
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HRMS Audit Program (Hand Out)
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Conclusion of PresentationWe have focused on how
you can audit transactions, rules, and processes
in PeopleSoft HRMS. We focused on specifics in
PeopleSoft HRMS such as pay rates, hours,
additional pays, deductions, manual checks, lump
sum payments, two paychecks in same period,
paychecks after terminations, and ghost
employees. We identified key tables needed to
audit transactions. Jennifer J. DonaldHRMS
Security Reporting Specialist/City of
Tallahasseee-mail donaldj_at_talgov.comHTTP//HE
UG.ORG (attendees may download HEUG2003
presentations from the archives at this location)