16-A-009 SMART Upgrade Cutover Plan (October 29, 2015)
Posted on 10/21/2021 at 12:50 PM by Kansas Department of Administration
|Informational Circular No.||16-A-009|
|Date of this Informational Circular:||October 29, 2015|
|Contact Name: |
| Approval: DeAnn Hill |
(Original Signature on File)
SMART upgrade cutover plan including guidelines and timeline for agency staff to follow
In preparation for the upgrade to PeopleSoft version 9.2 for SMART, this informational circular has been created to assist agencies with the cutover process. An attachment is included with a timeline of events and deadlines to assist agency staff in completing necessary tasks prior to and following the upgrade.
SMART will be closed to agencies starting Friday, November 6, 2015 through Thursday, November 12, 2015 as the SMART system transitions from PeopleSoft version 9.0 to version 9.2, and from state-owned hardware to a hosted environment. (The transition will be referred to as the “cutover process” in this circular). SMART will re-open on Friday, November 13, 2015 at 7:00 AM.
The URL for accessing the system will change with this upgrade. The new URL can be attained by navigating to the current SMART URL where a new landing page shows the SMART 9.0 URL on the left side of the page and the new SMART 9.2 URL on the right side of the page. Users should click on the SMART 9.2 URL between October 26 and November 2 to verify that the page can be displayed. Please note that the page will not display between November 3 and November 10 and users clicking on the URL will receive the “Error 404” message. On approximately November 11, the URL will be accessible again. Users must delete their internet browser cache files prior to logging into SMART for the first time on November 13 or after.
Some users may have issues with the new landing page displaying due to the way the page has been bookmarked in their browser. To reach the new landing page, bring up the current SMART 9.0 URL and delete all characters to the right of ‘.gov/’ and hit the Enter key. Any users having difficulty with this can create a ManageEngine Service Desk ticket or contact the Help Desk at 785-368-8000.
Please see the attached SMART Upgrade Cutover Plan Day by Day Summary for all processing deadlines and other important details regarding the upgrade.
Interface File Processing
The cutoff for interface files to be processed prior to the upgrade will be 6:00 PM on Wednesday November 4, 2015 for expenditures and 1:00 PM on Thursday November 5, 2015 for deposits. Files received after the cutoff and by November 8 will be held and processed on the night of November 12, 2015. Other files received after November 8 will be processed on the night of November 13, 2015.
During the period of November 6 to November 12, agencies will not be able to process payments in the accounting system. No payments can be generated with the exception of wire payments for agencies who have previously established agreements. Agencies should plan ahead for this time period.
Agencies may continue to submit SMART check maintenance (reissues and cancels) requests by creating a ManageEngine Service Desk ticket through 10 AM on Thursday, November 5. The State Treasurer’s website will not be updated during the SMART cutover period; therefore, no check maintenance requests shall be submitted during the cutover period Friday, November 6 to Friday, November 13 because the status of the check will need to be validated once SMART is re-opened and the State Treasurer’s website has been updated. Agencies may begin submitting SMART check maintenance requests by creating a ManageEngine Service Desk ticket on or after Monday, November 16 after the status of the check has been validated.
For agencies that process wire payments between November 6 and 12, vouchers must be entered in SMART 9.2 for the wire payments by 6:00 PM on November 17, 2015. Please enter one voucher for each wire payment since the two transactions must match exactly.
For agencies that upload and submit deposits via INF43 and INF44 -- continue to upload and submit deposits via INF43 and INF44 until 1:00 PM on Thursday November 5, 2015. (The INF28 can also continue to be submitted on November 5, 2015, for agencies using pending items). SMART AR Deposit jobs will run according to the regular hourly schedule. If you process INF43 or INF44, please e-mail the State Treasurer’s Cash Management Group at firstname.lastname@example.org to notify them of the Business Unit, Deposit ID (if known), and Deposit Total so they can approve the transaction in SMART. STO will perform their normal approval and release at 3:00 PM on Thursday November 5, 2015.
While SMART is unavailable from November 6 to November 12, agencies should continue to make deposits using the State Treasurer’s Office form: Temporary Deposit Form. Using the Temporary Deposit Form is preferable to holding checks and cash at the agency, and allows users to meet the requirement to deposit funds collected each day. Please bring the completed form, along with the cash and checks (calculator tape attached), to the State Treasurer’s Office.
All deposits that occur between November 6 and 12 must be entered in SMART 9.2 by 2:00 PM on November 16, 2015. Please enter a separate SMART deposit transaction for each deposit made with the State Treasurer’s Office. One SMART deposit transaction cannot be entered to summarize multiple deposits.
Transaction Status for Cutover
It is best practice for transactions to be in a completed state at the time of the cutover. Please consult the Month End Checklists available on the SMART Web website: http://smartweb.ks.gov/home/month-end-checklists/ to assist with reviewing transactions. Please resolve all issues in advance so that transactions are in a completed status by 6:00 PM on November 5, 2015. Agencies should refrain from entering transactions that cannot be completed before the cutover until after SMART 9.2 is available. More details about specific transactions are listed below:
Accounts Payable Transactions
Vouchers must be entered, approved, matched, and budget checked by November 5 at 10:00 AM.
The preferred statuses for P-Card transactions are either Staged or processed all the way through voucher build. SMART will not be loading any P-Card transactions after Monday November 2, and the last P-Card voucher build will run at 8:00 AM on Wednesday November 4.
Travel and Expense Transactions
In preparation for the upgrade, you must ensure that all expense transactions are either in Pending status (un-submitted) or Paid status (for expense reports and cash advances) or final Approved status (for travel authorizations). Transactions that are in the approval process are not recoverable for routing to approver queues after the upgrade. Once the upgrade is completed and the system is live, transactions that are in Pending status may be submitted normally.
Please run the following queries to identify expense transactions that require attention:
Travel Authorizations – Must be in final approved status
- Navigation: Reporting Tools > Query > Query Viewer > UNPROCESSED_TRAVEL_AUTHS
- Query results DO NOT include TAs in Closed or Denied status
- Query DOES include TAs in Approved, Approvals in Process, Pending and Submitted for Approval status
- TAs with a Valid budget status have encumbered funds
- TAs with an Error status have a budget error that should be resolved and may or may not have encumbered funds
- TAs with a Not Chk'd budget status have not yet been budget checked and have not encumbered funds
Cash Advances – Must be in Pending or Paid status
- Identify cash advances that are not reconciled
- Navigation: Travel and Expenses > Manage Accounting > Reconcile Cash Advance
- Cash advances must be reconciled by 10:00 AM on November 5
Expense Reports – Must be in Pending or Paid status
- Navigation: Reporting Tools > Query > Query Viewer > UNPROCESSED_EXPENSE_REPORTS
- Query results DO NOT include ERs that are in Closed, Denied or Paid status
- Query results DO include ERs that are in Approved for Payment, Approvals in Process, Pending, Staged, or Submitted for Approval status
General Ledger Journals
General Ledger journals must be entered, edited with a successful budget check, agency approved and submitted into workflow for central approval November 5 at 2:00 PM.
Asset Management Transactions
Agencies are encouraged to have all capital asset transactions dated through November 5 entered into SMART by 6:00 PM on November 5. This includes additions, cost adjustments, transfers, and retirements.
In addition, agencies that use integration to add assets must make sure that all outstanding Interface IDs have been loaded or marked as ‘Replaced’ if applicable. Please use the financial search page (Asset Management > Send/Receive Information > Approve Financial Information > Review) to validate. Note that users can search by Load Status. There should be no interface lines remaining at 6:00 PM on November 5 with the following Load Statuses: Errored, In Process, On Hold, and Pending. If there are any questions regarding Interface ID processing of lines with these statuses, please log a ManageEngine Service Desk ticket requesting assistance as soon as the issue has been identified.
SMART 9.0 utilized AWE (Application Workflow Engine) for Procurement and Travel and Expense. For SMART 9.2, General Ledger and Accounts Payable modules will move to using AWE instead of Virtual Approver.
AWE forces the approval hierarchy when there are multiple levels of approvers. A Level 1 approver must approve before a Level 2 approver can access. Top Level approvers will not be able to approve a transaction earlier in the workflow stream and approve for all levels. See the details below for assistance with preparing for this change.
Two queries have been created to assist agencies in reviewing the AP Voucher Approval Workflow as we move toward the SMART Upgrade in November. Agencies should run the query KS_SET_A_B to see users in your agency who are currently Set A or Set B approvers within each Origin Code for which workflow approval is required. The query KS_APPROVER_AP_V1 will list the users in your agency with the Agency Fiscal Office Approver Role.
Agencies will need to have a user in the Set A, Set B, and Fiscal Office levels for each of the origin codes for which vouchers are processed through workflow approval or risk vouchers being stuck or misrouted during the approval process. Please refer to:http://smartweb.ks.gov/docs/default-source/ap---vouchers---job-aids/enter-and-maintain-voucher-origin-approvals.pdf?sfvrsn=8 to make changes to the Set A and Set B approvers. If you need to make updates to the Agency Fiscal Office Approvers, please submit a security request form in ManageEngine Service Desk to make the necessary changes. Please note that this does not affect any of the interface vouchers which are submitted as pre-approved.
In the new AP Voucher workflow effective with the SMART upgrade, higher level approvers will no longer be able to approve vouchers that have not yet been approved by the lower level approvers. If the fiscal office approvers would like to have flexibility to approve vouchers that are not yet on their worklist, we suggest that the fiscal office approver be added as a Set A and/or Set B approver for each origin code.
If vouchers become stuck in the approval workflow, agencies will continue to log requests in ManageEngine Service Desk to have the voucher reassigned to an appropriate approval level.
The query KS_APPROVER_GL_V1 has been created to assist agencies in reviewing the GL Journal Approval Workflow. Agencies must have users in all three approval levels (KGL_AGY_APPROVER_L1, KGL_AGY_APPROVER_L2, and KGL_AGY_APPROVER_L3) or Journals will not route correctly through the approval path. The FOCUS Team has also reviewed the workflow and identified missing roles. Service Desk tickets have been logged in ManageEngine to update security roles as necessary so that a complete workflow path exists for each agency as we upgrade to 9.2. Higher level approvers will no longer be able to approve Journals that have not yet been approved by approvers at the lower levels unless they are also assigned the lower level roles.
We urge all agencies to review their Approvers at this time using the above query and request any additional changes by submitting a security form through ManageEngine Service Desk.
For agencies that utilize Trees within SMART for reporting purposes, please note that the Tree values from SMART 9.0 were transferred to SMART 9.2 on July 27, 2015. The SMART Team’s GL Analyst has manually updated the Tree values in SMART 9.2 to include values added to SMART 9.0 after that date. Even though the SMART Team has tried to validate that all Tree values have been added to SMART 9.2, agencies should take the time to verify the Tree values that were added after July 27, 2015.
Spreadsheet Upload Templates
New versions of the spreadsheet upload templates must be used with SMART 9.2. Agencies should take the necessary steps to make sure their agency users have the new versions and discontinue the use of the old versions. Agencies should submit a request for the new versions of the spreadsheet(s) they utilize to the ManageEngine Service Desk. There are four new spreadsheet upload templates:
- Budget Journal Upload (INF24)
- Journal Upload
- Deposit Upload (INF43)
- Voucher Upload (INF50)
Printable version of 16-A-009