Umoja Realisation Workshop Cluster 3

Transcription

1 Umoja Realisation Workshop Cluster 3 Nairobi, February UMOJA USER ACCESS MAPPING

2 Understand Enterprise Roles and How to map Roles to Users (User Access Mapping) Session Objectives Understand Workflow overview and how Internal controls are maintained in Umoja Understand relationship between Roles, Workflow and Training Next Steps 2

3 USER ACCESS MAPPING = ROLE MAPPING 3

4 WHAT ROLE MAPPING SHOULD DO? Ensure an individual is authorized to execute job relevant transactions Delegations of Authority are respected Adhere to Segregation of Duties Facilitate Workflow configuration Training needs of individual system users identified 4

5 WHAT ROLE MAPPING IS NOT? METHOD TO RESTRUCTURE ORGANSIATION JOB REDESIGN 5

6 T-Code? Enterprise Role? Job? 6

7 T-Code = Provides Access to carry out a transaction e.g. FMZ1 Create Funds Commitment FMZ2 Change Funds Commitment FMZ3 Display Funds Commitment 7

8 T- Code LOGICAL GROUP OF T-CODES T- Code Enterprise Role T- Code 8

9 ENTERPRISE ROLE IS LIKE 9

10 Role SUBJECT TO SEGREGATION OF DUTIES Role JOB Role INCLUDES BOTH SYSTEM AND NON-SYSTEM ROLES 10

11 RELATIONSHIP BETWEEN T-CODE, ROLE AND JOB T CODE T CODE T CODE E N T E R P R I S E R O L E T CODE T CODE JOB T CODE T CODE T CODE E N T E R P R I S E R O L E T CODE 11

12 T-CODE, ROLE AND JOB CREATE REQUISTION CHANGE REQUISTION CREATE FUNDS PRE- COMMITMENT R E Q U I S T I O N E R CREATE REQUISITION CHANGE REQUISTION REQUISITIONER JOB 12

13 13 T-CODE, ROLE AND JOB CREATE FUNDS COMMITMENT VALUE ADJUSTEMNT CHANGE FUNDS COMMITMENT F M A C C O U N T I N G O F F I C E U S E R REQUISITIONER T CODE CREATE REQUISTION CHANGE REQUISTION CREATE FUNDS PRE- COMMITMENT R E Q U I S T I O N E R CREATE FUNDS COMMITMENT VALUE ADJUSTEMNT CHANGE FUNDS COMMITMENT CREATE FUNDS PRE- COMMITMENT CREATE REQUISTION CHANGE REQUISTION JOB

14 T-CODE, ROLE AND JOB CREATE BUDGET RDPLY REQUEST RUN BUDGET REPORT CREATE FUNDS PRE- COMMITMENT B U D G E T O F F I C E U S E R CREATE BUDGET RDPLY REQUEST RUN BUDGET REPORT CREATE FUNDS PRE- COMMITMENT BUDGET ASSISTANT JOB CREATE FUNDS COMMITMENT CHANGE FUNDS COMMITMENT VALUE ADJUSTEMNT F M A C C O U N T I N G O F F I C E U S E R CREATE FUNDS COMMITMENT CHANGE T FUNDS CODE COMMITMENT VALUE ADJUSTEMNT 14

15 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 15

16 CONTROL POINTS ACCESS IS CONTROLLED DEPENDING ON LOCATION CLASSIFICATION OF ROLES GLOBAL ROLES REGIONAL ROLES LOCAL ROLES Fund = 20 OLA Fund Centre =10074(5 figure number for Engineering Section) Business Area = P003 Plant = LB01 House Bank = Fransabank. MANY 16

17 Foundation Enterprise Roles Enterprise Role Profile Financial Accounting [20] FA User (GL) FA User (AR) FA User (AP) FA Senior User (GL/AP/AR/CO) FA Approver (GL) FA Approver (AR) FA Approver (AP) FA Closing User FA Asset Accounting User FA Asset Accounting Senior User FA Petty Cash Imprest User FA Special Period 1 User FA Special Period 2 User FA Special Period 3 User FA Special Period 4 User FA Month End User FA Master Data Maintainer FA Coding Block Maintainer (CO) FA Coding Block Maintainer (FM) FA Coding Block Maintainer (GL) Cash Management and Treasury [6] TR Back Office User TR Cashier TR Investment Cashier TR Front Office User TR Administrator TR Bank Signatory Financial Management (Budget Implementation / Funds Management) [7] FM Budget Office User FM Budget Approver FM Accounting Office User FM Support User FM Earmarked Funds Documents Certifier FM Funds Commitment Approver FM Master Data Maintainer Financial Management (Grants Management) [9] GM Account User GM Account Approver GM Account Creator GM Budget User Unreleased GM Budget Approver Unreleased GM Budget User Released GM Budget Approver Released GM Support User GM Master Data Maintainer Source to Acquire (Procurement) [12] SA Low Value Acquisitioner SA Requisitioner SA Requisitioner Direct Procurement SA Buyer SA HR - Partner SA Buyer - LOA SA Buyer Supervisor SA Approver SA Bid Floor Administrator SA MoU Purchaser SA MoU Approver SA Master Data Maintainer 17

18 Foundation Enterprise Roles Receive to Distribute (Materials Management) [8] RD Inbound Coordinator RD Virtual RD Receiving User RD Receiving User RD Inspection User RD Property Control User RD Inventory Coordinator RD Logistics User RD Master Data Maintainer Real Estate [4] RE Facilities Planner RE Facilities Approver RE Lease Processor RE Lease Contract Approver Service to Public and Staff (Sales and Distribution) [3] SD User SD Approver SD Master Data Maintainer Project Management (Grants Management Only for Cluster 1) [3] PM User PM Approver PM Master Data Maintainer Employ to Dispose (Plant Maintenance and Production Planning) [7] ED Plant Maintenance User ED Plant Maintenance Planner ED Plant Maintenance Approver ED Plant Maintenance Verification Planner ED Production Planner ED Production Approver ED Plant Maintenance Master Data Maintainer Business Intelligence Advanced Reporting [4] Supply Chain BI Power User Real Estate BI Power User Funds Management BI Power User General Ledger BI Power User Business Partner [11] BP 3rd Party Maintainer BP 3rd Party Maintainer - Bank Data BP Commercial Maintainer BP Commercial Maintainer - Bank Data BP Individual Maintainer BP Individual Maintainer - Bank Data BP Treasury Maintainer BP 3rd Party Approver BP Commercial Approver BP Individual Approver BP Global Approver - Bank Data 18

19 SA Requisitioner Responsible for the creation of shopping carts (purchase requisitions) for goods/services including non military MOUs and Letters of Assist (DFS) Create purchase requisition Change purchase requisition Cancel purchase requisition Create funds pre-commitment Role (Non System Example) Research product information Obtain pre-approval for purchase of goods/services if required 19

20 SA Approver Role (Non System Example) Responsible for reviewing and approving: shopping carts (purchase requisitions for goods/services/ic and Consultants); OR solicitation documents, purchase orders, and contracts including MOUs (non-military); OR Letters of Assist (LOAs - DFS only); OR IC & Consultant Contracts. A. Approver (Requisitioning) Approve/reject shopping carts from SA Requisitioner Approve/reject low value purchase or (up to $4,000) from SA Low Value Acquisitioners Approve service entry sheets B. Approver (Procurement) Approve/reject solicitations, POs, contracts and amendments Source to Acquire Approve/reject LOAs(DFS only) C. Approver (IC and Consultant Contracts) Approve/reject IC and Consultant Contracts * Typically a staff member is granted one of the above approval authorities based on existing delegations of authority. Monitor for approval tasks Research product information Liaise with SA Requisitioner and SA Low Value Acquisitioner (Requisitioning) or Buyer/Buyers Supervisor (Procurement) Ensure the appropriate procurement reviews/approvals have been obtained as required 20

21 SA Buyer Role (Non System Example) Responsible for the processing of shopping carts for approval (including nonmilitary MOUs but excluding LOAs) through solicitations, purchase orders and contracts Create purchase orders Change purchase orders Create contracts Confirm existence of UN Catalogue for items Change contracts Create solicitations Change solicitations Research product information and publish EOI if applicable Review SOW, technical specifications etc. Research appropriate contract vehicle Distribute solicitation documents Prepare and obtain required authorizations/approvals as required Source to Acquire 21

22 SA Approver Role (Non System Example) Source to Acquire Responsible for reviewing and approving: shopping carts (purchase requisitions for goods/services/ic and Consultants); OR solicitation documents, purchase orders, and contracts including MOUs (non-military); OR Letters of Assist (LOAs - DFS only); OR IC & Consultant Contracts. A. Approver (Requisitioning) Approve/reject shopping carts from SA Requisitioner Approve/reject low value purchase or (up to $4,000) from SA Low Value Acquisitioners Approve service entry sheets B. Approver (Procurement) Approve/reject solicitations, POs, contracts and amendments Approve/reject LOAs(DFS only) C. Approver (IC and Consultant Contracts) Approve/reject IC and Consultant Contracts * Typically a staff member is granted one of the above approval authorities based on existing delegations of authority. Monitor for approval tasks Research product information Liaise with SA Requisitioner and SA Low Value Acquisitioner (Requisitioning) or Buyer/Buyers Supervisor (Procurement) Ensure the appropriate procurement reviews/approvals have been obtained as required 22

23 RD Virtual Receiving User Receive to Distribute Responsible for receiving materials against Commercial Procurement for items for which the UN takes ownership prior to arrival to final location as dictated by Incoterms (example: FCA) indicating UN acceptance of goods ownership Receive goods against Inbound Deliveries for applicable Incoterms only Monitor updates made by Procurement of Inbound Deliveries indicating transfer of ownership Role (Non System Example) Review vendor delivery document to confirm goods delivered as expected based on information in Purchase Order 23

24 RD Receiving User Receive to Distribute Responsible for receiving materials against Commercial Procurement or inter-mission transfers Indicate UN acceptance of goods ownership for physical receipts upon arrival of goods to office receiving location (for Cluster 3 this will involve receipts against goods movements after virtual receipts) Cluster 3: print and update barcode and batch information Cannot perform Quality Inspections and Inventory Management functions Receive into unrestricted stock Receive into inspection stock Issue goods receipt slip Update externally provided bar code labels Assign serial numbers to material Assign batch numbers to material Receive into blocked stock for damaged goods Role (Non System Example) Perform primary physical inspection of goods Attach barcode labels to assets Report discrepancies to Procurement Coordinate with SA Requisitioner for inspection and transfer to storage 24

25 FA User (AP) Financial Accounting Create vendor invoices and vendor credit memos within Accounts Payable sub-ledger This role will only create AP documents that are subject to workflow approval Create vendor invoices and credit memos and submit into the workflow Match invoices against goods/service receipt Role (Non System Example) Research finance information (i.e. display and run reports) 25

26 FA Approver (AP) Financial Accounting Review and approve vendor invoices and credit memos by the FA User (AP) within Accounts Payable sub-ledger Review / Approve / Reject vendor invoices and credit memos created by FA User (AP) Role (Non System Example) Liaise with Finance Accounts User (AP) with any questions 26

27 CMT Cashier Cash Management and Treasury Generate all payments (F110 ) in SAP, and manage Cash Control by fund / grant Any issues identified through Cash Control will be raised to Finance Managers for resolution Ensure that bank data are reflected in SAP accurately and timely to allow Front Office to manage daily liquidity Verify that all bank communication files are processed and accepted by SWIFT/banks in a timely manner Generate payments (F110) from bank accounts within their authority irrespective of where the transaction was initiated Ensure transactions are posted and bank communication files are generated by SAP Review Cash Control by Fund/Grant Manage all Cashier Window activities, including Cash Journal Generate receipts and initiate payment application vs. A/R, etc. items Review and import bank statements and oversee auto-reconciliation of bank accounts Role (Non System Example) Contact bank and other counter parties to resolve payment related issues Work with the Finance Managers to resolve Cash Control issues Resolve complex payment instruction issues with third parties Cashier Window transactions, including cash cheque receipts and cheque distribution (Cash Journal) Ensure bank statement information is properly uploaded into the system on a timely basis. 27

28 CMT Bank Signatory Cash Management and Treasury Responsible for reviewing and approving outgoing payments in Bank Communication Management prior to final release from the system. Two Bank Signatory Users are required to approve payments in order to release payment files Approves payments in Bank Communication Management Resubmits payments and schedules them for a future date. Rejects payments Role (Non System Example) Contacts related parties regarding payments not released for payment: Determines if payments should be released at a later date. Notifies related parties if any payments are rejected. 28

29 JOURNEY OF GOODS * Serialized Equipment UNHQ

30 JOURNEY OF GOODS * Serialized Equipment UNHQ SA Requisitioner SA Approver Shopping Carts SA Buyer SA Approver RD Receiving User FA User (AP) FA Approver (AP) CMT Cashier CMT Bank Signatory

31 Mapping of Users

32 User Mapping Inputs Current State Key pieces of information about your current business needed for UAM 1. Org Chart A view of functional areas helps identifying where Enterprise Roles (ERs) should be assigned Who to transact for, who transacts on your behalf 2. Delegations of Authority Identify individuals with valid delegations specifying the delegation type: certifying officer, procurement delegations, approving officer etc. Some Enterprise Roles require a specified delegation 3. Legacy Systems, Users, User Access List current legacy system(s), their users and the type of access users have: e.g. IMIS - raise requisitions, approve requisitions etc. This will assist in identifying and assigning similar Umoja Enterprise Roles

33 User Mapping Inputs Umoja Resources 1. Enterprise s & Guiding Principles This document provides information on the Enterprise Roles including system and non-system activities, eligibility requirements (e.g. delegations of authority), restrictions (e.g. for assignment by OPPBA), and other helpful tips such as recommended recipients iseek: Secretariat > Umoja > Add/Modify/Delete Umoja User 2. Overview of the Flow of Transactions in Umoja Understand the flow of transactions: e.g. requisitioning, procurement, budget, finance etc. How will these transaction be supported: UNEP Office A (Field Office) raises a requisition, it is certified in UNEP Office B in Nairobi and the procurement takes place at UNON. 3. Validate Roles Assignment against Umoja Processes Follow the Umoja process and ensure all Enterprise Roles in the process have been assigned This helps to ensure that all required users are considered and included in the UAM process

34 Additional Tips Ensure that all users of Umoja have an active EIDMS ( ) Base mapping on activities required to be performed by the user as part of their duties and not nice to have. Enterprise Roles cannot be split. A user does not need to perform 100% of the activities in an Enterprise Role to be mapped to that role Users not limited to one enterprise role. Users should be mapped to each role that applies to their system needs Mapping to roles not part of current job may be necessary; some roles will be entirely new due to Umoja functions

35 DATE BY WHICH USER ACCESS MAPS NEED TO BE COMPLETED: 04 April 2014

36 Next Steps 1. Start gathering information about your current state: Org charts, delegations of authority, legacy systems, users, current processes etc. 2. Familiarize yourself with the Enterprise Roles & Umoja Business Processes Umoja documentation, understand how you will implement the new processes 3. Familiarise yourself with User Access Mapping Guiding Principles 4. Start mapping users to Roles based on new Umoja processes and Guidelines (identify users that will require Global and Regional Roles 5. Remember User Access Mapping is due by 04 April 2014

37 THNK YOU Question?

38 ENTERPRISE ROLE PROFILES 38

39 Foundation Enterprise Roles Enterprise Role Profile Financial Accounting [20] FA User (GL) FA User (AR) FA User (AP) FA Senior User (GL/AP/AR/CO) FA Approver (GL) FA Approver (AR) FA Approver (AP) FA Closing User FA Asset Accounting User FA Asset Accounting Senior User FA Petty Cash Imprest User FA Special Period 1 User FA Special Period 2 User FA Special Period 3 User FA Special Period 4 User FA Month End User FA Master Data Maintainer FA Coding Block Maintainer (CO) FA Coding Block Maintainer (FM) FA Coding Block Maintainer (GL) Cash Management and Treasury [6] TR Back Office User TR Cashier TR Investment Cashier TR Front Office User TR Administrator TR Bank Signatory Financial Management (Budget Implementation / Funds Management) [7] FM Budget Office User FM Budget Approver FM Accounting Office User FM Support User FM Earmarked Funds Documents Certifier FM Funds Commitment Approver FM Master Data Maintainer Financial Management (Grants Management) [9] GM Account User GM Account Approver GM Account Creator GM Budget User Unreleased GM Budget Approver Unreleased GM Budget User Released GM Budget Approver Released GM Support User GM Master Data Maintainer Source to Acquire (Procurement) [12] SA Low Value Acquisitioner SA Requisitioner SA Requisitioner Direct Procurement SA Buyer SA HR - Partner SA Buyer - LOA SA Buyer Supervisor SA Approver SA Bid Floor Administrator SA MoU Purchaser SA MoU Approver SA Master Data Maintainer 39

40 Foundation Enterprise Roles Enterprise Role Profile Receive to Distribute (Materials Management) [8] RD Inbound Coordinator RD Virtual RD Receiving User RD Receiving User RD Inspection User RD Property Control User RD Inventory Coordinator RD Logistics User RD Master Data Maintainer Real Estate [4] RE Facilities Planner RE Facilities Approver RE Lease Processor RE Lease Contract Approver Service to Public and Staff (Sales and Distribution) [3] SD User SD Approver SD Master Data Maintainer Project Management (Grants Management Only for Cluster 1) [3] PM User PM Approver PM Master Data Maintainer Employ to Dispose (Plant Maintenance and Production Planning) [7] ED Plant Maintenance User ED Plant Maintenance Planner ED Plant Maintenance Approver ED Plant Maintenance Verification Planner ED Production Planner ED Production Approver ED Plant Maintenance Master Data Maintainer Business Intelligence Advanced Reporting [4] Supply Chain BI Power User Real Estate BI Power User Funds Management BI Power User General Ledger BI Power User Business Partner [11] BP 3rd Party Maintainer BP 3rd Party Maintainer - Bank Data BP Commercial Maintainer BP Commercial Maintainer - Bank Data BP Individual Maintainer BP Individual Maintainer - Bank Data BP Treasury Maintainer BP 3rd Party Approver BP Commercial Approver BP Individual Approver BP Global Approver - Bank Data 40

41 Financial Accounting 20 Roles 41

42 FA User (GL) Financial Accounting Create documents within the General Ledger Clear General Ledger open items at the end of each month This role will only create GL documents that are subject to workflow approval, except for clearing documents, which are not subject to workflow Create GL documents and submit into Workflow Clear GL open items Role (Non System Example) Research finance information (i.e. display and run reports) 42

43 FA User (AR) Financial Accounting Create customer invoices and customer credit memos within Accounts Receivable sub-ledger Occasionally insert a long-text description for incoming payments for voluntary contributions Creating dunning (reminder) notices for customers when items are past due (these notices can be reviewed by a Manager) This role will also have the ability to clear the invoices against receipts This role will only create AR documents that are subject to workflow approval, except for clearing AR documents, which are not subject to workflow Create AR customer invoices and credit memos and submit into workflow Create dunning notices Clear AR customer invoices Role (Non System Example) Research finance information (i.e. display and run reports) 43

44 FA User (AP) Financial Accounting Create vendor invoices and vendor credit memos within Accounts Payable sub-ledger This role will only create AP documents that are subject to workflow approval Create vendor invoices and credit memos and submit into the workflow Match invoices against goods/service receipt Role (Non System Example) Research finance information (i.e. display and run reports) 44

45 FA Approver (GL) Financial Accounting Review and approve GL documents (journal entries) by the FA User (GL) within General Ledger through workflow The GL Approver will have the ability to perform clearing of GL open items. Review / Approve / Reject GL documents created by FA User (GL) Clear GL open items (not through workflow) Role (Non System Example) Liaise with Finance Accounts User (GL) with any questions 45

46 FA Approver (AR) Financial Accounting Review and approve customer invoices and credit memos by the FA User (AR) within Accounts Receivable sub-ledger through workflow The AR Approver will have the ability to clear customer invoices Review / Approve / Reject customer invoices and credit memos created by FA User (AR) Review / Reject printed dunning notices (manual step) Clear invoices (not through workflow) Role (Non System Example) Liaise with Finance Accounts User (AR) with any questions 46

47 FA Approver (AP) Financial Accounting Review and approve vendor invoices and credit memos by the FA User (AP) within Accounts Payable sub-ledger Review / Approve / Reject vendor invoices and credit memos created by FA User (AP) Role (Non System Example) Liaise with Finance Accounts User (AP) with any questions 47

48 FA Closing User Financial Accounting Responsible for the Year-End Closing Process to close the financial year at the Company Code level (centralized to HQ). This will include opening and closing periods for GL, FM, GM, CO and all subledgers (AR / AP / fixed assets / materials management). This role will also run, at the Company Code level, the fixed asset depreciation and financial accounting revaluation (IPSAS) on a monthly basis, as well as the reclassification of receivables and payables, and balance carry-forward processes on an annual basis. This role will also manage the "Special Period" documents This role will also run the revaluation of purchase orders and earmarked funds, as well as other closing processes in Funds Management, such as obligation close-out and funds balance carryforward Role (System) This role administers the opening and closing of financial periods for the following modules: GL / AR / AP / FM / GM / CO / Fixed Assets / Materials Management The Financial Accounting: Closing User performs the following month-end processes: Fixed asset depreciation General ledger revaluation This role also performs the following year-end processes: Reclassification of receivables and payables (current vs. non-current) GL and FM Balance carryforwards Role (Non System Example) Oversee Year-end Closing 48

49 FA Asset Accounting User Financial Accounting Create, update, and maintain the fixed asset Master Data and posting and / or verify certain acquisition transactions Creates and updates fixed asset master records Posts and/or verifies fixed asset transactions Role (Non System Example) Liaise with Facilities Management, and Logistics staff to verify transactions that affect fixed assets 49

50 FA Asset Accounting Senior User Financial Accounting Responsible for asset disposals, asset revaluations and asset transfers Transfer fixed assets across business areas Impair fixed assets Reverse fixed asset documents Settle internal orders (related to fixed assets only) Settle assets under construction (AuCs) Role (Non System Example) Oversees Asset Retirement Process Liaise with Project Managers to review costs accumulated in projects and internal orders 50

51 FA Petty Cash Imprest User Financial Accounting The Petty Cash Imprest User is responsible for administering their respective petty cash or imprest cash using the Umoja cash journal functionality. Record cash replenishment received from bank in cash journal (in real time) Record cash disbursed in cash journal (in real time) Print/review cash journal Role (Non System Example) Submit cash journal and vouchers for approval Request replenishment Physical verification of cash on a periodic basis 51

52 FA Special Period 1 User Financial Accounting This role will extend an existing, assigned FA User (GL), FA Senior User (GL/AP/AR/CO), FA Approver (GL) role in order to allow specific year end users to be able to post journal voucher entries into Period 12 of a prior year while closing the same period to all other users. This functionality replaces the use of Special Period 13. Performs the same Journal Voucher Entry activities as the existing, assigned role but can only: Use Document Type = S1 Post to Period 6 or 12 in Leading Ledger Role (Non System Example) Same as the existing, assigned role. 52

53 FA Special Period 2 User Financial Accounting This role will extend an existing, assigned FA User (GL), FA Senior User_ GL/AP/AR/CO), FA Approver (GL) role in order to allow specific year end users to be able to post journal voucher entries into Period 12 of a prior year while closing the same period to all other users. This functionality replaces the use of Special Period 14. Performs the same Journal Voucher Entry activities as the existing, assigned role but can only: Use Document Type = S2 Post to Period 6 or 12 in Leading Ledger Role (Non System Example) Same as the existing, assigned role. 53

54 FA Special Period 3 User Financial Accounting This role will extend an existing, assigned FA User GL), FA Senior User (GL/AP/AR/CO), FA Approver (GL) role in order to allow specific year end users to be able to post journal voucher entries into Period 12 of a prior year while closing the same period to all other users. This functionality replaces the use of Special Period 15. Performs the same Journal Voucher Entry activities as the existing, assigned role but can only: Use Document Type = S3 Post to Period 6 or 12 in Leading Ledger Role (Non System Example) Same as the existing, assigned role. 54

55 FA Special Period 4 User Financial Accounting This role will extend an existing, assigned FA User (GL), FA Senior User (GL/AP/AR/CO), FA Approver (GL) role in order to allow specific year end users to be able to post journal voucher entries into Period 12 of a prior year while closing the same period to all other users. This functionality replaces the use of Special Period 16. Performs the same Journal Voucher Entry activities as the existing, assigned role but can only: Use Document Type = S4 Post to Period 6 or 12 in Leading Ledger Role (Non System Example) Same as the existing, assigned role. 55

56 FA Month End User Financial Accounting This role will extend an existing, assigned role in order to allow specific month end users to be able to post transactions into a prior period while closing the same period to all other users. Role (Non System Example) Tips on Mapping this Role Same as the existing, assigned role. Same as the existing, assigned role. User cannot be assigned this role alone. 56

57 FA Master Data Maintainer Financial Accounting Responsible for creating or updating the Master Data (including Collection Data) for existing or new General Ledger accounts Create Master Data Partners Change Master Data (information that is consistent and agreed upon across the entire organization) Role (Non System Example) Verify Master Data accuracy Communicate with other Finance personnel before updating Master Data 57

58 FA Coding Block Maintainer (CO) Profile Financial Accounting The role supports the creation and maintenance of the SAP Coding Block dimensions which are SAP Controlling Master Data elements. Create and change Cost Element (KA01, KA02) Create Secondary Cost Element (KA06) Create and change Cost Element Group (KAH1, KAH2) Create and change Profit Center (KE51, KE52) Role (Non System Example) Review and approval of requests for new CO master data, or changes to existing CO master data. The review step includes an impact assessment of changes being requested to existing data elements to ensure there are no adverse effects on Production and the Project Build and Test environments. Tips on Mapping this Role This role should be mapped to members of the Coding Block Maintenance Team, specifically to those who will deal with the maintenance of Controlling Coding Block dimensions. 58

59 FA Coding Block Maintainer (FM) Profile Financial Accounting The role supports the creation and maintenance of the SAP Coding Block dimensions which are SAP Funds Management Master Data elements. Create and Change of Fund master data and Fund Group (FM5I, FM5U, FM_SETS_FUND1) Create and Change of Commitment Item and Group (FMCIA, FM_SETS_FIPEX1) Create and Change of Fund Center and Group (FMSA, FMSB, FM_SETS_FICTR1) Create and Change of Functional Area (FM_FUNCTION, FM_SETS_FUNCTION1) Create and Change of Funded Program (FMMEASURE) Create and Change Budget Period (FMBPBD) Role (Non System Example) Tips on Mapping this Role Review and approval of requests for new FM master data, or changes to existing FM master data. The review step includes an impact assessment of changes being requested to existing data elements to ensure there are no adverse effects on Production and the Project Build and Test environments. This role should be mapped to members of the Coding Block Maintenance Team, specifically to those who will deal with the maintenance of Funds Management Coding Block dimensions. 59

60 FA Coding Block Maintainer (GL) Profile Financial Accounting Role (Non System Example) The role supports the creation and maintenance of the SAP Coding Block dimensions which are SAP Financial Accounting Master Data elements. Create and Change of G/L Accounts (FS00) Review and approval of requests for new GL Account master data, or changes to existing GL Account master data. The review step includes an impact assessment of changes being requested to existing data elements to ensure there are no adverse effects on Production and the Project Build and Test environments. Tips on Mapping this Role This role should be mapped to members of the Coding Block Maintenance Team, specifically to those who will deal with the maintenance of G/L Accounts. 60

61 Cash Management and Treasury 6 Roles 61

62 TR Back Office User Cash Management and Treasury Confirm and settle all trades (both investments and FX), issue daily investment reports and ensure distribution of net income to participating funds and grants in overall IPSAS compliance Maintain Custodian relationship, and review / authorize treasury related wire transactions Provide supporting documentation related to investments for financial reporting Reconcile investment related bank accounts. Confirm/settle investment and FX trades with Counterparties and transmit relevant details to custodian via SWIFT. Review and approve payment requests for investments and FX related trades. Review and post daily net investment income as calculated by ADB processes. Issue daily investment reports and provide ad hoc investment statistics. Review / authorize treasury transactions between House banks (second level authorization). Role (Non System Example) Maintain Custodian relationship - including reconciliations and corporate actions. Confirm trades with Counterparties FX via FxAll Coordinate with Middle Office regarding Counterparty settlement instruction maintenance. 62

63 TR Cashier Cash Management and Treasury Generate all payments (F110 ) in SAP, and manage Cash Control by fund / grant Any issues identified through Cash Control will be raised to Finance Managers for resolution Ensure that bank data are reflected in SAP accurately and timely to allow Front Office to manage daily liquidity Verify that all bank communication files are processed and accepted by SWIFT/banks in a timely manner Generate payments (F110) from bank accounts within their authority irrespective of where the transaction was initiated Ensure transactions are posted and bank communication files are generated by SAP Review Cash Control by Fund/Grant Manage all Cashier Window activities, including Cash Journal Generate receipts and initiate payment application vs. A/R, etc. items Review and import bank statements and oversee auto-reconciliation of bank accounts Role (Non System Example) Contact bank and other counter parties to resolve payment related issues Work with the Finance Managers to resolve Cash Control issues Resolve complex payment instruction issues with third parties Cashier Window transactions, including cash cheque receipts and cheque distribution (Cash Journal) Ensure bank statement information is properly uploaded into the system on a timely basis. 63

64 TR Investment Cashier Cash Management and Treasury Generate all payments (F111 ) in SAP, and manage Cash Control by fund / grant Any issues identified through Cash Control will be raised to Finance Managers for resolution Ensure that bank data are reflected in SAP accurately and timely to allow Front Office to manage daily liquidity Verify that all bank communication files are processed and accepted by SWIFT/banks in a timely manner Generate payments (F111) from bank accounts within their authority irrespective of where the transaction was initiated Ensure transactions are posted and bank communication files are generated by SAP Review Cash Control by Fund/Grant Manage all Cashier Window activities, including Cash Journal Generate receipts and initiate payment application vs. A/R, etc. items Review and import bank statements and oversee auto-reconciliation of bank accounts Role (Non System Example) Contact bank and other counter parties to resolve payment related issues Work with the Finance Managers to resolve Cash Control issues Resolve complex payment instruction issues with third parties Cashier Window transactions, including cash cheque receipts and cheque distribution (Cash Journal) Ensure bank statement information is properly uploaded into the system on a timely basis. 64

65 TR Front Office User Cash Management and Treasury Responsible for cash positioning relying on cash and liquidity forecasts and creating memo records for items not yet reflected in the system Execute investment and foreign currency transactions Initiate bank to bank transfers Create / change cash positioning data (memo records) Run Cash Positioning reports for all House banks Ensure FX & Investment trades are recorded correctly Move funds between banks globally to meet cash requirements Role (Non System Example) Execute investment and FX trades with Counterparties using investment management tools (e.g. Bloomberg AIM and FxAll) Ensure the data is appropriately interfaced to Umoja from the relevant external system(s) Propose quarterly changes to investment limit guidelines based on Counterparty credit ratings 65

66 TR Administrator Cash Management and Treasury Responsible for creating and maintaining Master Data pertaining to Treasury activities, including Business Partners, issues, brokers, banks, etc. Work with Finance Managers to open / close bank accounts in Umoja Create and maintain master data for Treasury BPs Open and close bank accounts in Umoja Role (Non System Example) Coordinate with Treasury Front Office and Back Office users on updates and change requirements for Treasury related master data (e.g. counterparty settlement instructions, etc.) 66

67 TR Bank Signatory Cash Management and Treasury Responsible for reviewing and approving outgoing payments in Bank Communication Management prior to final release from the system. Two Bank Signatory Users are required to approve payments in order to release payment files Approves payments in Bank Communication Management Resubmits payments and schedules them for a future date. Rejects payments Role (Non System Example) Contacts related parties regarding payments not released for payment: Determines if payments should be released at a later date. Notifies related parties if any payments are rejected. 67

68 Financial Management (Budget Implementation) (Funds Management) 7 Roles 68

69 FM Budget Office User FM: (Budget Implementation) (Funds Management Establish the appropriation and allocation revenues for subsequent allotment issuances (controlled through workflow) Evaluate and process redeployment allotment requests Create, amend, review and close Earmarked Fund Documents (Funds Reservation, Funds Pre- Commitment, and Funds Block) per UN Financial Regulations and Rules Create funds reservation, funds pre-commitment, or funds block document Change funds reservation, funds pre-commitment, or funds block document Create funds reservation, funds pre-commitment, or funds block value adjustment documents Liquidate funds reservation or funds pre-commitment Run Financial Management Reports in Business Intelligence Create budget entry documents for appropriations and allotments, including redeploying of funds Change budget entry documents for appropriations and allotments, including redeploying of funds Role (Non System Example) Analyze reports Liaise with Financial Management Counterparts 69

70 FM Budget Approver FM: (Budget Implementation) (Funds Management Responsible for reviewing the inputs of the Budget Office User on Earmarked Funds Documents, document liquidation, and funds redeployment Open and close posting periods, re-evaluate Purchase Orders and Earmarked Funds Documents, liquidate open Commitments (Pre-Encumbrances and Encumbrances), and perform budget period end fund balance carry-forwards The Approve ability in this role is to enable the user to Approve to Post via workflow. Workflow will not allow the Approver to change the document (only to display and approve). Relevant for Budget Officer within delegated authority. Approve budget entry documents, including redeployments Approve Earmarked Funds Documents; including Funds Reservation, Funds Block, and Funds Pre-Commitment Approve document liquidation Approve month-end and budget period-end reporting Approve Funds Balance Carry-Forwards Run Financial Management Reports in Business Intelligence Role (Non System Example) Analyze reports Contact Budget Office User with any questions 70

71 FM Accounting Office User FM: (Budget Implementation) (Funds Management Partake in the month-end and fiscal year closing Review open commitments (by budget period/fund/document value) via reports in order for them to identify commitments that should be liquidated in accordance with the United Nations Financial Regulations and Rules Review open purchasing and Earmarked Funds Document Commitments Run Financial Management Reports in Business Intelligence Role (Non System Example) Request purchasing and Earmarked Funds Document Commitment Liquidation 71

72 FM Support User FM: (Budget Implementation) (Funds Management Responsible for creating and updating FM derivation rules for ensuring posting to Funds Management Actual Ledger (9F) and the Availability Control Ledgers (Z1 and Z2) Carry out system reconciliation and re-initialization activities Open budget years when requested at year-end by the Budget Approver Create FM derivation rules Change FM derivation rules Perform re-initialization of AVC Ledger Analyze Funds Management table postings Perform SAP module reconciliation activities Open budget years Role (Non System Example) Provide support and guidance to Funds Management users 72

73 FM Earmarked Funds Documents Certifier FM: (Budget Implementation) (Funds Management Responsible for approving Earmarked Funds Documents; Funds Pre-Commitment, Funds Reservations, and Funds Block and associated value adjustments Liquidate the above documents when remaining balances are no longer required or per UN Financial Regulations and Rules Review and approve stated Earmarked Funds Documents Liquidate stated Earmarked Funds Documents Role (Non System Example) Liaise with Budget Office User and Funds Management SA Requisitioner 73

74 FM Funds Commitment Approver FM: (Budget Implementation) (Funds Management Responsible for reviewing and approving the funds commitment Earmarked Funds Document Liquidate the above documents when remaining balances are no longer required or per UN Financial Regulations and Rules This is essentially an Approving Officer" for Funds Commitment approval Review funds commitments Review associated funds pre-commitment as required Approve funds commitments Liquidate funds commitments Role (Non System Example) Liaise with Funds Commitment Entry Agent and FM Earmarked Funds Documents Certifier 74

75 FM Master Data Maintainer FM: (Budget Implementation) (Funds Management Responsible for maintaining and updating the Funds Management Master Data elements, including: fund groups, commitment items/groups, budget periods/groups, functional areas/groups, fund centers/groups, funded programs/groups Carry out all additions, modifications, and expirations of the master data elements, including updating of FM derivation rule values Liaise with the FM Support User role to update FM derivation rules as required Create Funds Management Master Data elements Update Funds Management Master Data elements Update Funds Management derivation rule values Role (Non System Example) Liaise with Funds Commitment Entry Agent and FM Earmarked Funds Documents Certifier 75

76 Financial Management (Grants Management) 9 Roles 76

77 GM Account User FM: (Grants Management) Role (Non System Example) Responsible for creating and maintaining Grants, and related master data Responsible for creating Accounts receivable and payable documents related to Grants GM Purchase Order creator Responsible for creating and maintaining all types of Grants throughout the pre-award statuses Responsible for creating and maintaining Sponsored Programs Perform the functions that Financial Accounting -AR User performs (park apply deposits) Perform functions that Financial Accounting -AP User performs (creation and parking of down payments to Implementing Partners and creation and parking of invoices against the GM Purchase Orders) Perform functions that Financial Accounting -GL User performs (park Journal Vouchers) Create and maintain Purchase Order for implementing partner and endbeneficiary Ensures that the Purchase Order request is in compliance with the Financial Regulations and Rules of the UN Liaise with Substantive office/resource Mobilization with regards to donor agreements Work with GM Account Approver and GM Account Creator 77

78 GM Account Approver FM: (Grants Management) Role (Non System Example) Responsible for approving documents and further processing of the Grants Management Master Data Responsible for approving Accounts receivable, payable and G/L documents related to Grants GM Purchase Order Approver Moving the grant through the lifecycle - pre-award and award statuses up to closed Maintain Grants Billing Plans Maintain UN assignment on WBSE or Internal Order Perform the functions that Financial Accounting -AR Approver performs (posting of applied deposits) Perform functions that Financial Accounting -AP Approver performs (posting of down payments to Implementing Partners and posting of invoices against the GM Purchase Orders) Perform functions that Financial Accounting -GL Approver performs (post Journal Vouchers) Release Purchase Order for implementing partner and end-beneficiary Ensures that the Purchase Order request is in compliance with the Financial Regulations and Rules of the UN Liaise with Substantive office/resource Mobilization with regards to donor agreements Liaise with GM Account User and GM Account Creator 78

79 GM Account Creator FM: (Grants Management) Responsible for creating and maintaining Grants, and related master data GM Purchase Order creator Role (Non System Example) Responsible for creating and maintaining all types of Grants throughout the pre-award statuses Responsible for creating and maintaining Sponsored Programs Create and maintain Purchase Order for implementing partner and endbeneficiary Ensures that the Purchase Order request is in compliance with the Financial Regulations and Rules of the UN Liaise with GM Account User and GM Account Approver Liaise with GM Budget roles Liaise with GM Purchase Order Approver 79

80 GM Budget User Unreleased FM: (Grants Management) Pre-post GM unreleased budget Pre-post GM unreleased budget including enter, returns, redeployments, additional budgets (Processes Enter, Supplement, Return, Transfer) in accordance with the donor agreements Role (Non System Example) Liaise with GM Budget Approver Unreleased Liaise with Project/Program Officers 80

81 GM Budget Approver Unreleased FM: (Grants Management) Post GM unreleased budget Post GM unreleased budget including enter, returns, redeployments, additional budgets (Processes Enter, Supplement, Return, Transfer) in accordance with the donor agreements Role (Non System Example) Liaise with GM Budget User Unreleased Liaise with Project/Program Officers 81

82 GM Budget User Released FM: (Grants Management) Analyze cash received for budget release Pre-post GM released budget Analyze cash received for budget release Ensures that the budget request is in compliance with the Financial Regulations and Rules of the UN Pre-post GM released budget including enter, returns, redeployments, additional budgets (Processes Enter, Supplement, Return, Transfer, Passthrough Transfers and Pass-through Returns) in accordance with the donor agreements and funding agreements with UN grantees Role (Non System Example) Liaise with GM Budget Approver Released Liaise with Project/Program Officers Liaise with Substantive office/resource Mobilization with regards to donor agreements 82

83 GM Budget Approver Released FM: (Grants Management) Analyze cash received for budget release Post GM released budget Analyze and ensure sufficient cash received for budget release Ensures that the budget request is in compliance with the Financial Regulations and Rules of the UN Post GM released budget including enter, returns, redeployments, additional budgets (Processes Enter, Supplement, Return, Transfer, Transfer, Pass-through Transfers and Pass-through Returns) in accordance with the donor agreements and funding agreements with UN grantees Role (Non System Example) Liaise with GM Budget User Released Liaise with Project/Program Officers Liaise with Grant Accountant Liaise with Substantive office/resource Mobilization with regards to donor agreements 83

84 GM Support User FM: (Grants Management) Create and maintain GM Derivation Rule System re-initialization activities Create GM and GM AVC derivation rules Perform re-initialization of AVC Ledger Analyze GM table postings Role (Non System Example) Liaise with FM, FI and CO System Support roles 84

85 GM Master Data Maintainer FM: (Grants Management) GM Master Data creator and maintainer Create and maintain Sponsored Classes Create and maintain reference and mapping tables Maintain derivation rule values Role (Non System Example) Liaise with GM Accounts and Budget roles Liaise with FM, FI and CO System Support roles 85

86 Source to Acquire (Procurement) 12 Roles 86

87 SA Low Value Acquisitioner Source to Acquire Responsible for initiating the Low Value / Direct Procurement process for requirements up to $4,000 Create low value purchase documents Edit low value purchase documents Cancel low value purchase documents Amend low value purchase documents Role (Non System Example) Research product information Confirm purchase requisition value is below threshold Obtain pre-approval for purchase of goods / services 87

88 SA Requisitioner Source to Acquire Responsible for the creation of shopping carts (purchase requisitions) for goods/services including non military MOUs and Letters of Assist (DFS) Create purchase requisition Change purchase requisition Cancel purchase requisition Create funds pre-commitment Role (Non System Example) Research product information Obtain pre-approval for purchase of goods/services if required 88

89 SA Requisitioner Direct Procurement Source to Acquire Responsible for the creation of shopping carts (purchase requisitions) for inventory items (only) Missions not available until Galileo is decommissioned HQ Cluster 3 only Create purchase requisition Change purchase requisition Cancel purchase requisition Create funds pre-commitment Role (Non System Example) Research product information Obtain pre-approval for purchase of goods / services 89

90 SA Buyer Source to Acquire Responsible for the processing of shopping carts for approval (including nonmilitary MOUs but excluding LOAs) through solicitations, purchase orders and contracts Create purchase orders Change purchase orders Create contracts Confirm existence of UN Catalogue for items Change contracts Create solicitations Change solicitations Role (Non System Example) Research product information and publish EOI if applicable Review SOW, technical specifications etc. Research appropriate contract vehicle Distribute solicitation documents Prepare and obtain required authorizations/approvals as required 90

91 SA Human Resources Partner Source to Acquire Responsible for the processing of shopping carts for consultant and independent contractor contracts. Review and create index number and partner record Creation of Contract for approval from approved HR Shopping Carts Review/Acceptance of the service entry sheet created on behalf of the supplied contract services Role (Non System Example) Check All persons data base for existence of Contractor/Consultant. Create in Web based tool if record does not exist Check that reimbursement rate of request is in accordance with OHRM agreed rates Reporting/monitoring of engagement periods 91

92 SA Buyer LOA Source to Acquire Responsible for the processing of approved shopping carts for LOAs (only) including purchase orders, contracts and contract administration (amendments) Create/change/cancel/amend solicitations Create/change/cancel/amend contracts Create/change/amend Purchase Orders Upload approval documents (including ASG, OCSS approval) Role (Non System Example) Obtain the Member State s offer Obtain the commercial market comparator from and liaise with Procurement Division as required Prepare and obtain required authorizations/approvals 92