Umoja Realisation Workshop Cluster 3

Transcription

1 Umoja Realisation Workshop Cluster 3 Nairobi, February UMOJA WORKFLOW MAPPING

2 RELATIONSHIP BETWEEN ROLE AND WORKFLOW ENTERPRISE ROLE WORKFLOW GIVES YOU ACCESS TO CARRY OUT A TRANSACTION PICKS UP THAT TRANSACTION AND TAKES IT TO CORRECT NEXT STEP BY COMAPRING MANY ATRIBUTES ASSOCIATED WITH THAT DOCUMENT 2

3 Umoja Foundation Workflow Processes Umoja Foundation has 14 Custom workflow processes that address control and notification requirements: 5 in Financial Accounting 2 in Funds Management 2 in Grants Management 1 in Treasury Management 3 in Source to Acquire (Procurement) 1 in Real Estate Workflow processes are flexible; simple yet obtain a balance between productivity and controls Workflow authorization tables need to be maintained in close coordination with user provisioning 3

4 Budget Workflow Document Type Transaction Reviewers Approver AA01 Advance Allotment PFD/PPBD Section Chief Director PFD/PPBD AL01 Allotment PFD/PPBD Section Chief ALR1 Redeployment L1 Mission Chief Budget DMS/CMS ALR2 Redeployment L2 Mission Chief Budget, DMS/CMS, PFD Budget Officer, PFD Section Chief Director PFD/FBFD ALR3 Redeployment L3 SAU Section Chief, Mission Chief Budget DMS/CMS AP01 Original Appropriation. PFD/PPBD Section Chief AP02 Appropriation Supercede CA PFD/PPBD Section Chief AP03 Advance Appropriation. PFD/PPBD Section Chief APS1 Supplement 1 Appropriation. PFD/PPBD Section Chief APS2 Supplement 2 Appropriation. PFD/PPBD Section Chief APS3 Supplement 3 Approprition. PFD/PPBD Section Chief 4

5 Budget Workflow Document Type AR01 CA01 CA02 GMRI RTN1 Transaction Reviewers Approver Allocation Revenue Commitment Authority w/o Assessment. Commit Authority w Assessment. Grant Redeployment Return PFD/PPBD Section Chief PFD/PPBD Section Chief 2 x Reviewers 1 x Approver PFD/PPBD Section Chief PFD/PPBD Section Chief SA01 Sub Allotment Mission Chief Budget DMS/CMS Grants Budget Release Grants Spending Authority Grant Approver Grant Approver 5

6 Earmarked Funds Workflow Document Type Transaction Reviewers Approver 70 Fund Block Certifying Officer 60 Fund Reservation Certifying Officer 10,11,12 Fund Pre-commitment Certifying Officer 30,31,32,52 45,51,55 Fund Commitment (not Travel Request) Fund Commitment (Travel Request) Certifying Officer Financial Approving Officer Financial Approving Officer 6

7 Financial Accounting & Treasury Workflow Document Type KA KH Transaction Reviewers Approver Down Payment Invoice with Fund Commitment (AP) KD, KE, KG Direct invoice(ap) DG, DR, DW RE Account Receivable document Purchase Order related invoices S* JV entry (GL) * Bank Communication Management/Cheques Certifying Officer Financial Approving Officer Financial Approving Officer Financial Approving Officer Financial Approving Officer Financial Approving Officer Financial Approving Officer Bank Signatory 1 Bank Signatory 2 7

8 Source to Acquire & Real Estate Workflow Transaction Shopping Carts Low Value Acquisition Purchase Orders, Solicitation and Contracts Real Estate Architectural Objects Real Estate - Leases Approver Certifying Officer Certifying Officer Buyers as per Procurement Delegations One level approver except where the NTE of a contract exceeds 75% of contract value when 02 level approval will be required Facilities Approver Lease Approver 8

9 Workflow: Financial Accounting & Funds Management 9

10 Finance Workflow : How it works FUNDS MANAGEMENT BUDGET ENTRY DOCUMENTS EARMARKED FUNDS APPROPRIATIONS FUNDS BLOCKS ALLOTMENTS FUNDS RESERVATIONS REVENUE ALLOCATION PRE-COMMITMENTS COMMITMENT AUTHORITY FUNDSCOMMITMENTS RETURNS SUBALLOTMENTS REDEPLOYMENTS BUDGET LEDGER DOWN PAYMENTS ACCOUNT PAYABLES ACCOUNT RECEIVABLES PO RELATED INVOICES JOURNAL VOUCHER ENTRIES FINANCIAL ACCOUNTING AP SUBLEDGER AR SUBLEDGER ASSETS SUBLEDGER XXXXXX GENERAL LEDGER 10

11 Finance Workflow : How it works Flexible approach: Number of steps can vary depending on the workflow attributes Two to Five approvers. If only one approver is needed, the workflow can skip the intermediate steps The workflow is based on several attributes: Document type Routing Location Business area Fund Fund center Commitment item Amount Validity 11

12 Finance Workflow : How it works For Finance Workflow to function, SAP maintains two tables in the background Group Determination table (GDT) This table should maintained centrally like configuration Agent Determination table (ADT) A tool will assist to easily maintain, create users in this table. This tool will be integrated with user provisioning in a second phase This table can be maintained locally. 12

13 Finance Workflow : How it works A document is always sent to the inbox of the group of agents created in the role. Once an agent has selected the document, this document will disappear from the inbox of the other agents (If an agent opened the document which is not meant for him/her, it must be closed and replaced back in workflow) Each user can define several substitutes (OICs). The list of items sent to the agent will be available in the inbox of the substitutes 13

14 Finance Workflow : How it works Workflow Steps TEA Transactional Entry Agent Approvers 05 Levels DA1 Applicable for both FM and FA workflow DB1 Applicable for both FM and FA workflow DC1 Applicable for FM Budget Workflow only DD1 Applicable for FM Budget Workflow only DE1 Applicable for FM Budget Workflow only 14

15 Finance Workflow : How it works The documents can only be modified or deleted by the TEA except for invoice flow where an Approver (DB1) can change it Workflow monitoring reports: Status of all documents History log Current workflow agent 15

16 Workflow for Budget Redeployment (Cross Group) Transaction TEA Creates, Changes or Closes a Document TRIGEERING EVENT LA2 DA1 Chief Budget Officer LA1 LB2 DB1 DMS/CMS LB1 LC2 DC1 PPBD Budget Officer LC1 LD2 DD1 DE1 FS1 PPPBDBudget Section Chief LD1 PPBD Budget Director LE1 FINAL STEP WORKFLOW LE2 16

17 Workflow for Invoice with Certification Transaction (No PO) TEA Creates, Changes or Closes a Document TRIGEERING EVENT LA2 DA1 Certifying Officer/Intermediate Approver LA1 LB2 DB1 Approving Agent LB1 FS1 FINAL STEP WORKFLOW 17

18 Workflow (Funds Commitment MOD) Transactions TEA Creates, Changes or Closes a Document TRIGEERING EVENT DA1 SKIP LA2 DB1 Approving Agent LA1 FS1 FINAL STEP WORKFLOW 18

19 Workflow: Grants Management 19

20 Grants Management Workflow Documents Grants Unreleased Budget Grants Released Budget (Spending Authority): Budget Transfers within Incoming Grants Budget Transfers to Passthrough Grants Standard SAP workflows based on Authorization Group linked to Enterprise Roles Always One level of approval Document rejection is only sent to the data entry agent 20

21 Grants Management Workflow Document is sent to an Approver Group Approver Group is determined based on Grant Authorization Group = LOCATION (There is always one group of approvers per location) Account assignment of the document does not impact agent determination (not based on fund, fund center ) Maintenance of the workflows is done through authorization roles and does not require additional table maintenance 21

22 Workflow Grants Management Budget Transactions Budget Assistant Who Receives the request Creates a Budget Document and Pre- Posts TRIGEERING EVENT SENT BACK WITH COMMENTS Budget Officer Approves /Rejects the document APPROVED? NO YES NOTIFICATION 22

23 Workflow: Supplier Relationship Management (SRM) Documents 23

24 SRM Shopping Carts & Low Value PO Workflow Shopping Carts and Low Value PO Approvers: one table that resides in SAP SRM One level Approval (However functionality exists to add additional Approvers) Funds Center (key driver) User name (SAP user id) Validity periods Thresholds in USD Provision exists, currently not in use Maintained in conjunction with the SRM Approver Enterprise Role 24

25 SRM Purchasing Workflow Master Data SRM Documents: 04 tables maintained in SAP SRM Main Table Transaction type (equivalent to a document type) Purchasing Group FRR Grouping (see table 2) Special Procedures Identification (Next Slide) Delegation of Authority (DoA) group (Next Slide see) Threshold (USD) 25

26 SRM Purchasing Workflow Master Data Table 2 : Classification of Financial Regulations & Rules as the Apply to Procurement One-time setup that can be maintained if FRRs should change Already setup Table 3 : Classification of Special Procedures which may change workflow behavior One-time setup that can be maintained if required. e.g. Core vs. Non-Core requirements Already setup 26

27 SRM Purchasing Workflow Master Data Table 4 : Delegation of Authorities Table Maintained in conjunction with the SRM Approver Enterprise Role Purchasing Group Grade grouping (staff post type & grading) SAP USER ID 27

28 SRM Workflow - Features SRM documents can be routed to more than one approver The creator and the approvers of the SRM document can add adhoc approvers Funds Pre-Commitment for shopping carts / Funds Commitment for POs is updated only after the document is completed approved SRM document that is in the approval process can be changed by the Requisitioner / buyer. If it is changed, the document would be removed from the Inbox of the approvers and will be rerouted into Approval Workflow 28

29 SRM Workflow - Features Possible to maintain substitutes if an approver is on leave during a particular period. Workflow administrators can assign the documents from one approver to another if required. The SRM system sends the tasks for approvers to the Worklist of the SAP SRM Portal as well as the inbox of the approvers. The document initiator will also receive an notification when the document is approved or rejected 29

30 SHOPPING CART & PO Workflow ONE STEP APPROVAL DELETED CHANGE & SUBMIT REQUISITIONER Create Shopping Cart CERTIFYING OFFICER BUYER Create PO BUYER APPROVER NO WF COMPLETED APPROVED? APPROVED? NO YES YES Send PO to Vendor 30

31 SHOPPING CART & PO Workflow TWO STEP APPROVAL REQUISITIONER BUYER DELETED CHANGE & SUBMIT Create Shopping Cart CERTIFYING OFFICER NO Create PO BUYER APPROVER 1 APPROVED? NO APPROVED? WF COMPLETED YES YES Send PO to Vendor 75% NTE? NO YES BUYER APPROVER 2 NO YES APPROVED? 31

32 Workflow: Real Estate Management 32

33 Real Estate Workflow Features (Lease Contract Approval) Approval of RE lease contracts are for operational purposes only. This means that negotiations take place outside of the system before lease contract is created in SAP. Once lease-out (external, internal, sales-based) contracts are approved, they are active for financial postings and invoicing. The processor and approver for each lease contract are assigned to the lease contract at the time when the lease contract is recorded in SAP. Workflow is triggered when status of the lease contract is changed by the Lease Processor to requested 33

34 Real Estate Workflow Features (Lease Contract Approval) Real Estate Lease Contracts can only be routed to one approver It would be possible to maintain substitutes if an approver is on leave during a particular period by editing the lease contract and adding the substitutes relevant information. Notification to the lease approver via , as well as SAP inbox. The lease processor notified when the approver approves or rejects the lease contract. 34

35 Real Estate Workflow LEASE PROCESSOR CHANGES LEASE CONTRACT STATUS TO REQUESTED LEASE APPROVER GETS NOTIFICATION IN SAP INBOX LEASE APPROVER GETS IN OUTLOOK LEASE APPROVER REVIEWS THE LEASE CONTRACT LOGIN TO SAP ECC LEASE APPROVER RETURN TO INBOX LEASE CONTRACT APPROVED? SET CONTRACT USER STATUS TO APPROVED & SYSTEM STATUS TO ACTIVE SET CONTRACT USER STATUS TO REJECT END 35

36 Workflow Governance 36

37 Enterprise Role and Workflow Governance Definition of roles is centralized Definition of workflow tables step and attributes is centralized Assignment of users to Authorization and Workflow roles is decentralized but controlled by entities During Umoja Foundation : Governance is a 02 step process From Umoja Extension-1, Governance will be a one step process 37

38 Enterprise Role and Workflow Governance Governance of SRM workflows: Maintenance of the SRM workflow tables managed centrally Revisit the decision once the solution has stabilized and offices are more familiar with the functionality Governance of Finance workflows: GDT will be maintained centrally. ADT maintenance initially centralized and could be eventually decentralized. Governance of Treasury workflow proposal: Treasury HQ will maintain the bank signatories. Part of the process of creating or modifying bank accounts. 38

39 Workflow Governance Role Mapper UNHQ Approver Service Centre Service Centre Role Mapper Approver PKOs SPMs ECs OAHs UNEP/U N HABITAT Role Mapper Approver Umoja Users 39

40 Enterprise Role Governance : Umoja Foundation - STEP 1 Request I-NEED Roles Rule Book Mitigated Controls Status Management UMOJA GOVERNANCE, RISK & COMPLIANCE NO NO UMOJA IDENTITY MANAGEMENT SYSTEM YES YES Status Management Workflow UMOJA SAP SYSTEM 40

41 Workflow Governance : Umoja Foundation STEP 2 NO YES CENTRAL CONTROL UMOJA SAP SYSTEM Reporting Status Management 41

42 Enterprise Role & Workflow Governance : Post Umoja Foundation Request I-NEED UMOJA GOVERNANCE, RISK & COMPLIANCE Roles Rule Book Mitigated Controls Status Management NO YES SAP IDENTITY MANAGEMENT SYSTEM Status Management Workflow NO YES UMOJA SAP SYSTEM Reporting Status 42 Management 42

43 Questions? 43