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10.07 Banner Approval Queues

10.07 Banner Approval Queues, Chancellor's Office Business Policies & Procedures

Purpose:

To establish policy and procedures for maintenance of approval queues in the Chancellor's Office production instances of Banner.

Policy:

Approval queues force completed transactions to filter through management-defined levels of FIS approver(s) prior to posting to the ledgers.

Each Department Head designates the FIS Approver(s) responsible for authorizing FIS encumbrance, disbursement and journal voucher transactions, in compliance with Chancellor's Office Business Policies and Procedures. Additional FIS Approvers may be added to an approval queue at the discretion of Business Services management.

The Department Head may set a dollar level limit for FIS Approver(s) and may request additional levels of approval. Additional dollar level limit thresholds and additional levels of approval may be added as approved by Business Services management.

The following procedures will be used for approval queue maintenance in the Chancellor's Office production instances of Banner.

Index:

  1. Designating Approvers for FIS Approval Queues
  2. Central Office Changes to Approval Queues
  3. Safety Net Queue Procedures
  4. D. Review/Monitoring Procedures


  1. Designating Approvers for FIS Approval Queues
    1. Department Head designates FIS on-line approvers using the form Designation of FIS Approvers. Department Head can also request dollar level limits and levels of approval by indicating such on the form. If changes to existing approval queues are required, a new form must be completed.
    2. Completed and approved Designation of FIS Approvers forms are sent to the Chancellor's Office Security Administrator.
    3. The Security Administrator routes the request to Business Services for review and approval.
    4. The Security Administrator approves the request if:
      1. the necessary authorization has been submitted, and
      2. the approvers do not have the ability to input transactions in Banner FIS.
    5. The Security Administrator creates or modifies the approval queue in Banner.
    6. Notification is sent to the requestor, and a copy is routed to the Banner-Access group.
    7. The Security Administrator files the documentation in the Controller's Division Banner security archive files.
  2. Central Office Changes to Approval Queues:
    Occasionally, the central office (e.g., Controller's Division or Budget Office) will identify the need to add central office staff as an additional level in existing approval queues or create new approval queues to accomplish the identified need.
    1. A written request is sent by the initiating central office staff to the Chancellor's Office Security Administrator. The request should document the need and required changes to approval queues.
    2. The Security Administrator routes the request to Business Services for review and approval.
    3. The Security Administrator approves the request if:
      1. the necessary authorization has been submitted,
      2. the approvers do not have the ability to input transactions in Banner FIS, and
      3. the request appears reasonable for the central office to add an approver.
    4. The Security Administrator creates or modifies the approval queue in Banner.
    5. The Security Administrator files the documentation in the Controller's Division Banner security archive files.
  3. Safety Net Queue Procedures:
    The "safety net" is a "default" approval queue where documents route when no other approval queue exists in Banner for the transaction's routing codes (rule group, document type, fund, org, etc). The following procedures will be used when a document routes to the "safety net" queue.
    1. The Security Administrator will disapprove the document or the Business Processing Staff will deny the document, causing it to become incomplete.
    2. The Security Administrator will research the cause of the document's routing to the safety net queue, and will modify an existing queue or create a new queue for this accounting sequence following the procedures outlined above.
    3. The Security Administrator will ask the Business Processing Staff to re-complete the document and ensure that it routes to the appropriate queue.
    4. The Security Administrator files the documentation in the Controller's Division Banner security archive files.
  4. Review/Monitoring Procedures
    Periodically (at a minimum, annually), the Security Administrator and Business Services will review approval queues based upon business need and proper segregation of duties.

Forms:

Designation of FIS Approvers

Related Policies/Procedures:

See 05.10 Delegations of Fiscal Authority & Responsibility

Definitions:

See 01.10 Definitions

History:

12/22/04 Policy issued (These policies and procedures replace the Chancellor's Office FIS Security and Approvals Policy dated 1/6/96). Last Updated: 12/22/04