FI309 Umoja Budget Distribution. Umoja Budget Distribution Version 36 1

Transcription

1 FI309 Umoja Budget Distribution Umoja Budget Distribution Version 36 Last Copyright Modified: United 16-August-13 Nations 1

2 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 2

3 Introduction Please share with us: Your name Your section/unit Years of experience in the field An interesting fact about you 3

4 Ground Rules Please consider the following guidelines during the training session: Turn your cell phone to silent mode. Please step out of the class to take any important phone call Please do not access your or the Internet outside of breaks Participate fully in the training session and respect each other s contribution Breaks are included at the discretion of the trainer X X No Phones Do Not Access Participate Ask Questions Breaks 4

5 Course Overview The purpose of the Umoja Budget Distribution course is learn how to record budgets in Umoja and make them available for spending by those authorized to do so. Prerequisite Review You should have completed the following prerequisite courses: Umoja Overview Umoja ECC Navigation Umoja Master Data and Coding Block Overview Umoja Funds Management Overview Umoja Grants Management Overview Course Duration: 6 hours 5

6 Course Objectives After completing this course, you will be able to: Enter a Budget Appropriation Transfer budgets between Budget Types, Funds Centers and within/between Commitment Item Groups Enter Budget Supplements Complete activities related to a budget return Explain the Funds Management activities related to budget closure Explain how Budget Distribution documents are approved through workflow 6

7 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 7

8 Module 1 Objectives After completing this module, you will be able to: Explain the three core components of Funds Management in Umoja List the key changes and benefits that Umoja will bring in the way budgets are distributed in the UN Explain what the Budget Control System and Budgeting Workbench are Give examples of how the three key elements of the Budgeting Workbench form valid combinations for Budget Distribution 8

9 Key Terminology Key Term Entry Transfer Supplement Return Description Refers to the recording of Appropriations in Umoja This is the process used to: Move budgets from non-consuming budget types (for example, Appropriations) to consuming budget types (for example, Allotments) Sub allot or re-deploy funds Refers to subsequent additions to the initial Appropriation budget that might be made after the original budget has been approved A process used to give back to Member States the unused portion of the budget 9

10 Roles & Responsibilities The following roles are involved in the Budget Distribution process: Budget Office - User Budget Office - Approver Creates initial appropriations and allocations for subsequent allotment issuances Evaluates and processes redeployment allotment requests Creates, amends, reviews and closes Earmarked Fund Documents (Funds Reservation, Funds Pre- Commitment Travel Funds Commitments and Funds Blocks) per UN Financial Regulations and Rules Approves and reviews Budgeting Workbench postings via workflow Reviews and certifies via workflow inputs of Budget- Office - user Earmarked Funds Documents (Pre-commitments, Funds Reservations and Funds Blocks) Liquidates open Commitments (Assists in opening and closing budget periods, reevaluates Purchase Orders and performs budget period end Fund balance carry-forwards 10

11 Roles & Responsibilities The following roles are involved in the Budget Distribution process: Accounting Office - User Carries out system reconciliation and re-initialization activities Opens budget years when requested at year-end by the Budget Office - Approver 11

12 Key Activity Cycles within FM Funds Management in Umoja comprises three core components. The three core components of FM are: Budget Distribution Issuance of funds Budget Implementation Budget Consumption Budget Closing Operations Close & Report on budget(s) 12

13 Budget Distribution Budget distribution refers to the different processes that result in budgets being made available for spending by authorized persons. These processes include: 1. Enter: Appropriations are recorded in Umoja using this process. Appropriations are not budget consuming (spendable). 2. Transfer: For spending to proceed, appropriations are transferred to allotments. In addition, allotments can be further transferred to other types of allotments (sub allotments) or redeployed. 3. Supplement: If there is need to increase an appropriation for whatever reason, the Supplement Process is used to record the increase in resources. 4. Return: When budgets are unused at the end of a given period, they are returned to the General Fund. 13

14 Budget Implementation Budget allotments can be earmarked (to be used for specific purposes) in one of the five ways: 1. Funds Pre-Commitments 2. Funds Commitments 3. Travel Commitments 4. Funds Reservations 5. Funds Block Funds Pre-commitments Earmarked Funds Funds Commitments Funds Reservations Funds Blocks Travel Commitments The creation of Earmarked Funds and the monitoring of spending against them are covered in a separate course: FI310 Umoja Budget Implementation. Note: This course will only focus on the different processes in Umoja that are used to make allotments available to be earmarked and consumed. Before we do so, let s revisit Commitment Items and Funds Centers, which are two of the Master Data Elements (covered in F104 Funds Management Overview) used in Umoja, because of the important role they play in the understanding of Budget Distribution. 14

15 Master Data Elements Consider a scenario where the UN General Assembly passes the resolution to establish a new mission in Mali. Within FM, it could be assigned the following Master Data elements: Budget Period (Budget cycle) Funds Center (Area of responsibility) P14 ( Peacekeeping July 2013 June 2014 ) MINUSMA Transport Section Fund (Source of budget) United Nations Mission in Mali (MINUSMA) Commitment Item (Nature of expenditure) OE Transport Service Rental Ground Vehicle Functional area* (Programmatic View) PKM Transport Logistics * Functional Area is a Master Data Element spanning across missions, due to is programmatic nature Funded Program (Activities or operations carried out for defined period of time - within a project) FPNR (Funded Program Not Relevant) 15

16 Commitment Item Budgets are estimates of the expenditure we intend to undertake or revenue we hope to collect. The expenditure and revenue can be viewed in different ways. One approach is to look at the nature of the expenditure or revenue. This gives us Commitment Items. The features of commitment item are as follows: Commitment items are linked to G/L accounts (FI) and cost elements (CO). They are established for both revenues and expenditures Commitment items get their postings from various Umoja modules, for example, purchase orders (SRM), expenditures (FI) and secondary cost allocations (CO) Commitment items can be statistical (non-budget consuming) or real (budget consuming) postings, for example, depreciation (statistical) and salary (real) Commitment items can also be created for budgeting purposes only. For example, Commitment Items and are only used in budget distribution. 16

17 Commitment Item Class Actual spending of budgets is at the Commitment Item Level. For instance, when a purchase order is raised in SRM to purchase Medical Equipment, the Commitment Item Fixed Asset Medical Equipment Cost, will be associated with the order. However, budgets will not be given to specific Commitment Items, but rather to a Class of Commitment Items. An Example A Commitment Item Class comprises one or more Commitment Items. To illustrate, the Commitment Items in the Commitment Item Class FT20_Class_140: Medical are as follows: Class FT20_Class_140: Medical Consu Medical Supp Consu Medical Invn Medical Supp Invn Medical FA Medical Equip. Cost OE Medical Service OE Medical Equip. Rental Note: Commitment Items correspond to the Object Codes we currently have in Sunsystem. 17

18 Commitment Item Groups Commitment Item Classes are further put together into Commitment Item Groups. In Umoja, Peacekeeping Funds (Fund Type 20) will have four Commitment Item groups. PK_Mil_Pol Peacekeeping Military & Police Personnel PK_Civ_Per Peacekeeping Civilian Personnel PK_Op_Cost Peacekeeping Operational Costs PK_Pro_Rtd Peacekeeping Pro- Related Costs For example, some of the Commitment Item Classes of the PK_Op_Cost: Peacekeeping Operational Costs Commitment Item Group are listed. FT20_Class_110: Facilities and Infrastructure FT20_Class_115: Ground Transportation FT20_Class_120: Air Transportation FT20_Class_130: Communications FT20_Class_135: Information Technology FT20_Class_140: Medical FT20_Class_145: Special Equipment FT20_Class_155: Quick Impact Projects Note: Commitment Item Groups play an important role in the redeployment of funds. This is covered in detail later in the course. 18

19 Funds Center While a Commitment Item tells us the nature of expenditure, a Funds Center shows who is responsible for managing a budget. Recall that Budget Distribution seeks to make funds available for spending by authorized persons, in keeping with their Delegation of Authority. The features of Funds center are as follows: Each Funds Center is linked to a Cost Center (1-to-1 basis) Funds Centers can be grouped for reporting and controlling purposes Budget is consumed as postings are made to Funds Centers with committed and actual values The life of a Funds Center can be defined using valid from and valid to dates Note: The Funds Center hierarchy represents a structural grouping into departments or areas of responsibility within an organization. An example of UNIFIL is shown in the next slide. 19

20 Example of UNIFIL Funds Centers* Business Area Force Commander Conduct & Political & Military Admin Humanitarian Legal Affairs Security Discipline Civil Allocations Only Allocations Only Allocations Only Director of Mission Support Chief Budget Officer Senior Admin Officer Funds Center Aviation Funds Center Logistics Funds Center Supply Funds Center Military Support Chief of Integrated Support Services Funds Center Mov Con Engineering Transport Property Funds Center Funds Center Funds Center Funds Center Chief Regional ICTS Funds Center Funds Center Funds Center Funds Center Procurement Finance HR Chief of Administration Services Funds Center General Services Intgt. Training Unit Medical Funds Center Funds Center Funds Center * Illustrative purposes only. May not reflect the new structure after 1 July Note: Cost Center = Funds Center 20

21 Budget Control System Description In Umoja, the tool used to enter a budget allotment, as well as monitor and report on its use is the Budget Control System (BCS). It holds information related to budget entries, commitments, actual expenditure and real and statistical postings. Within the BCS budget entries are managed using a functionality known as the Budgeting Workbench (BWB). Once a budget is approved, it is entered in Umoja using the BWB. Further, it can be moved to other budget types, Commitment Items or Funds Centers, as well as returned to Member States (if no longer needed) using the BWB. Entries made in the BWB are pre-posted and routed through Workflow to Approving Officers in keeping with their Delegation of Authority. 21

22 Layout of the Budgeting Workbench The layout of the Budgeting Workbench is as follows: 1. 1 Personal Documents Tree: This will contain any documents that you have preposted or put on hold. This can be turned on/off using the Document Overview on/off icon 2. 2 Budget Header Information: This can be turned on/off using the Budget Header icon 3. 3 Budget Lines Information: This is the part of the Budgeting Workbench where line details are entered. These include Budget Type, Funds Center, Commitment Item, Functional Item, Funded Program, Amount and text. Depending on the type of Process, one or more lines can be entered

23 Posting Budget Documents in the Budgeting Workbench Documents can be taken through one or more of the following posting phases: Pre-Post By selecting the Pre-post icon, you may send a drafted budget document through workflow. The appropriate approver(s) must review, certify and/or approve the budget document via workflow, within the Business Workplace. Undone By selecting Undo within the Menu bar, you may undo a budget document that was pre-posted in error. An undone document cannot be recalled or re-submitted. Instead, a new one must be created. Held By selecting the Hold icon, you may store a budgeting workbench document to revisit at a future point in time. This document is only visible by you and requires no further processing. Held documents can only be processed by the user who initially created and held it. In contrast to all other processing statuses, you can delete held documents. Posted A budget document becomes posted (ready to spend or utilize) once it successfully goes through workflow and is reviewed, approved and/or certified by appropriate individuals. The appropriate approver(s) must review, certify and/or approve the budget document via workflow, within the Business Workplace. 23

24 Budgeting Workbench Header and Line Items For a transaction to be performed successfully in the budgeting workbench, a number of decisions must be made on the data to input in the header and line item fields. 1. The Budget Process and Document Type (selected in the BWB Header) must be compatible with the Budget Type (selected in the BWB Line) 2. In the BWB lines, a decision must be made on the Commitment Item, Funds Center, Functional Area and Funded Program to be entered. This will of course be related to the combination of Budget Process, Document Type and Budget Type in (1) above. Given the importance of selecting the Budget Process, Budget Type and Document Type in a compatible and logical manner, we ll first explain each of these elements in turn and next show how the elements can be put together to form valid combinations that the budgeting workbench will accept. Budget Process Document Type Budget Type 24

25 Budgeting Workbench Processes As indicated earlier, the four processes are Enter, Transfer, Supplement and Return. Approval for any transaction raised using any of the processes is through workflow. Enter (Appropriations) Used to bring Appropriations into Umoja Transfers (Allotments and Redeployments) Used to move Appropriations to Allotments or to redeploy funds within the same or across Commitment Item Groups Supplement (e.g. Commitment Authority) Used when additional resources are needed in the same budget period Return (Savings) Unused budgets or savings must be given back to the General Fund to be returned to member states 25

26 Budgeting Workbench Budget Types Budget types are used for categorizing and sub-dividing the budget in the BCS. They are configured based on the various budgeting cycles that the UN operates under. They can also be used to determine the spending authority by defining it as either a consumable or non-consumable budget type for the purposes of budget control. Non-Consumable Budget Type Any budget posted to a non-consumable budget type (for example, Appropriation) cannot be spent unless transferred to a consumable budget type. Transfer Consumable Budget Type Any budget posted to a consumable budget type allows the users to spend against it. For example, Allotment 26

27 Budgeting Workbench Budget Types Examples Category Budget Type Description/Expansion Consumable? APRO Appropriation Received N APRI Appropriation Ready for Issue N Appropriations CATH Commitment Authority N CARI Commitment Authority Ready for Issue N CAWA Commitment Authority with Appropriation N MSBL Member State Balance N Allocation Revenue ARRI Allocation Ready for Issue N AREV Allocation Revenue Received N 27

28 Budgeting Workbench Budget Types Examples Category Budget Type Description/Expansion Consumable? AALT Advanced Allotment Y Allotment ALLT Allotment Y SALT Sub Allotment Y Voluntary Contributions GMAA Grants Management Allotment Activities Y Note: The only transaction that relates to Grants Management carried out directly in the Funds Management Budgeting Workbench are funds transfers - using the GMAA Budget Type. Using this GMAA Budget Type, the Budgeting Workbench is used to transfer funds between fund centers, functional areas or funded programs. In this transfer process, document type GMRI and Budget Type GMAA are used. All other Grants Management activities are carried out in the Grants Budgeting Workbench and derived automatically for Funds Management activities. 28

29 Budgeting Workbench Document Types Document types are used to classify the budget into finer details, beyond the Budget process and Budget types, according to user-specific criteria. The main advantage of having different document types is: Workflow Design It allows the document workflow to be designed differently. They facilitate the routing of documents to the UN Personnel with appropriate delegated authority for approval. 29

30 Budgeting Workbench Document Types Examples Category Document Type Name Appropriations APO1 AP02 APS1 APS2 APS3 AR01 CA01 CA02 Original Appropriation Appropriation Superseding Commitment Authority Supplement 1 Appropriation Supplement 2 Appropriation Supplement 3 Appropriation Allocation Revenue Commitment Authority without Assessment Commitment Authority with Assessment 30

31 Budgeting Workbench Document Types Examples Category Document Type Name Allotments AA01 AL01 ALR1 ALR2 SA01 Advance Allotment Allotment Redeployment Within (Commitment Item Group) Redeployment Between (Commitment Item Groups) Sub-allotment Returns RTN1 Return 31

32 Budgeting Workbench Document Types Examples Category Document Type Name Voluntary Contributions GMRI Redeployment Within Note: Recall that the only transaction related to Grants Management carried out directly in the Funds Management Budgeting Workbench is funds transfers - using the GMAA Budget Type. Using this GMAA Budget Type, the Budgeting Workbench is used to transfer funds between fund centers, functional areas,or funded programs. In this transfer process, document type GMRI and Budget Type GMAA are used. All other Grants Management activities are carried out in the Grants Budgeting Workbench and derived automatically for Funds Management activities 32

33 Putting it all Together The Budget Processes, Budget Types and Document Types within the Budget Control System can be brought together as follows: Budget Control System Process Budget Types Document Types BCS Enter APRO, APRI, CATH, CARI, CAWA, AREV, ARRI, APO1, AP02, CA01, CA02, AR01 BCS Transfer AALT, ALLT, SALT, AREV, APRI, GMAA AL01, SA01, ALR1, ALR2, AA01, GMRI BCS Supplement APRO, APRI, CATH, CARI, CAWA, AREV, ARRI, APS1, APS2, APS3, CA01, CA02, AR01 BCS Return APRO, APRI, CATH, CARI, CAWA, AREV, ARRI, MSBL RTN1 Note: Workflow for these budget entries will be covered in the last module. 33

34 Putting it all Together: Examples To ensure data integrity, the BWB verifies that a valid combination of Budget Process, Budget Type and Document Type is selected. An error message will be returned if an invalid combination is picked. For example, suppose the Appropriation of UNIFIL is to be brought into Umoja. A valid combination will be as follows: 1 Budget Process Enter 2 Budget Type APRO (Appropriation) 3 Document Type APO1 (Original Appropriation) 34

35 Putting it all Together: Examples Before UNIFIL can begin spending part or all of the Appropriation must be transferred to an Allotment. A valid combination to do this will be: 1 Budget Process Transfer 2 Budget Type APRI (Appropriation Ready for Issue) 3 Document Type AL01 (Allotment) 35

36 Putting it all Together: Examples If the GA approves a Supplementary Appropriation for UNIFIL for whatever reason, an acceptable combination will be: 1 Budget Process Supplement 2 Budget Type APRO (Appropriation) 3 Document Type APS1 (Supplement 1 Appropriation) In Modules 2 to 5, we ll look at how to use each Budget Process in greater detail. Before we delve into it, let s see an example of an invalid combination and also say a word on the key changes and benefits, which Budget Distribution in Umoja will bring. 36

37 Example: Invalid Process and Budget Type Combination Using an invalid combination of Process and Budget Type throws up an error. In this example, Process: Enter is being used with the AA01 (Advance Allotment) Document Type. As this is an invalid combination, an error message is displayed. Hence, it is important to know which process, budget types and document types go together (and are valid combinations). Invalid Combination Error message displayed 37

38 Budgeting Distribution: Interim Key Changes During the transitional period until Umoja becomes the book of records, the following interim changes will be in implemented: Appropriations will be entered in total in IMIS and sub allotted to Umoja except for International Staff Salaries, Troop and COE costs, which will remain in IMIS The sub-allotments from IMIS will be entered in Umoja as Appropriations and then allotted to Commitment Item Groups in Umoja The SAP Business Intelligence Warehouse will be used to report on budget performance 38

39 Budget Distribution: Key Benefits Major benefits of the Budget Distribution process are: Multiple entries of allotments in Sun system and Mercury in different missions will be eliminated, as Appropriations will be entered and allotted centrally Consistency in the allotment process across the missions will be enhanced Complete view of Appropriations and Allotments will be available for the entire organization on a real time basis 39

40 Touch Points The Umoja system is an integrated system and most of its modules integrate with each other. The Umoja Coding Block enables simultaneous posting by automatically linking data elements across modules through the derivation functionality. Touch points refer to these integration points across Umoja modules. FM touch points are as follows: Financial Accounting Expenses are linked to budget consumption Cost objects linked to items in FM Controlling Funds Management Grants Management Funded program in FM is linked to Sponsored Program in GM Purchase Requisitions and PO s linked to FM for created funds precommitment and Commitments through shopping cart. SRM Portal 40

41 Learning Checkpoint 1 Which of the following processes can be executed on budgets? Select all that apply. A. Transfer B. Supplement C. Withdraw D. Return 41

42 Learning Checkpoint 1 Which of the following processes can be executed on budgets? Select all that apply. A. Transfer B. Supplement C. Withdraw D. Return Options A, B and D are the correct answers. Transfer, Supplement and Return are actions that can be executed on budgets. 42

43 Module 1 Summary The key points covered in this module are: Budget distribution in Umoja involves processes to enter, transfer, supplement and return allotments Earmarked funds are business transactions that claim budget that is already allocated for expected expenditures Funds Management Master Data Elements Commitment Items and Funds Center that are helpful in understanding Budget Distribution The Budgeting Workbench tool used to perform different budget distribution tasks Budget types are used for categorizing and sub-dividing the budget in the BWB Document types are used to classify the budget into finer details, beyond the Budget Process and Budget Types, according to user-specific criteria The key changes and benefits of the Budget Distribution process include consistency in the allotment process across the entire Secretariat 43

44 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 44

45 Module 2 Objectives After completing this module, you will be able to: Correctly choose the Budget Type and Document Type to enter an Appropriation and Allocation Manually enter Appropriations in Umoja 45

46 Budget Entry Process As indicated earlier, during the transitional period until Umoja becomes the book of records, Appropriations will be entered in IMIS in total and allotted to Umoja, except for International Staff Salaries, Troops and COE costs, which will remain in IMIS. The portion of the Appropriation that will be allotted from IMIS to Umoja will be recorded in Umoja as an Appropriation. This module covers how this will be done. 46

47 Entry Process Budget Types and Document Types For the budget process Entry, the Budget Types and Document Types are: Budget Types Appropriations 1. APRO Appropriation Received 2. APRI Appropriation Ready for Issue 3. CATH Commitment Authority 4. CARI Commitment Authority Ready for Issue 5. CAWA Commitment Authority with Appropriation Allocation Revenue 1. AREV Allocation Revenue Received 2. ARRI Allocation Ready For Issue Document Types Appropriations 1. APO1 Original Appropriation 2. AP02 Appropriation Superseding Commitment Authority 3. CA01 Commitment Authority without Assessment 4. CA02 Commitment Authority with Assessment Allocations 1. AR01 Allocation Received 47

48 Entry Process Combinations of Budget and Document Types The first step to enter the budget is to choose the correct mix of Budget Type and Document Type from the table shown earlier. If the wrong combination is chosen, the Budgeting Workbench will return an error message as seen earlier. Examples: The Budget Type Appropriation (APRO) can be entered in combination with Document Types Appropriation Superseding Commitment Authority (AP02) or Original Appropriation (APO1). The Budget Type Commitment Authority (CATH) can be entered in combination with Document Types Commitment Authority Without Assessment (CA01) or Commitment Authority With Assessment (CA02). The Budget Type Allocation Revenue Received (AREV) will be entered in combination with Document Type Allocation Received (AR01). Note: It is important to note that in each of the examples above only one non-balanced line is entered. However, the system automatically creates a balancing line from where Allotments will be issued. (see Module 3). 48

49 Manual Entry Versus Upload Once the correct mix of Budget Type and Document Type has been determined, the next step is to enter the Appropriation in Umoja. This is done using the manual method. Manual Entry Each field of the Budgeting Workbench will be filled out manually. Plans are underway to build an interface that will upload Appropriations from BIS into Umoja. All budget entry documents need to be approved via Workflow. Details of the approving levels associated with specific Document Types are covered in a latter module. 49

50 Budget Entry Process: Manual Entry (Line Item Level) The steps to manually enter the budget in Umoja are as follows: Enter Transaction Code Enter Header Data Enter Budgetary Details (Line Items) Review Entries Using Check Icon Pre Post Document 50

51 Enter Transaction Code Enter Transaction Code Enter Header Data Enter Budgetary Details (Line Items) Review Entries Using Check Icon Prepost Document On the SAP Easy Access screen, perform the following steps to execute the required transaction: 1 Enter the transaction code FMBB in the Command field 2 Click the Enter icon The Budgeting Workbench Create Document Screen opens

52 Enter Header Data Enter Transaction Code Enter Header Data Enter Budgetary Details (Line Items) Review Entries Using Check Icon Prepost Document 1 Select the Header Data tab 1 52

53 Enter Header Data Enter Transaction Code Enter Header Data Enter Budgetary Details (Line Items) Review Entries Using Check Icon Prepost Document Populate the following fields of the Header Data tab: 2 Select the ENTR Enter option in the Process dropdown 3 Select the option APO1 from the Document Type drop down 4 Enter 0 in the Version field

54 Enter Header Data Enter Transaction Code Enter Header Data Enter Budgetary Details (Line Items) Review Entries Using Check Icon Prepost Document Enter text in the Grant field 5 Enter text in the Fund field 6 Enter text in the Budget Period field 7 Select appropriate option from the Period dropdown

55 Enter Budgetary Details (Line Items) Enter Transaction Code Enter Header Data Enter Budgetary Details (Line Items) Review Entries Using Check Icon Prepost Document Populate the following fields: 1 Bdgt. Type 2 Funds Center 3 Commitment Item 4 Functional Area 5 Funded Program 6 Amount 7 Text

56 Review Entries Using Check Icon Enter Transaction Code Enter Header Data Enter Budgetary Details (Line Items) Review Entries Using Check Icon Prepost Document 1 Click the Check icon or press F7 to validate the document and ensure that all the required fields are filled out. Note: It is advised to click the Check icon to validate that there are no errors. This functionality checks the FMBB document for errors and gives you a message in the bottom left hand corner. 56

57 Pre Post Document Enter Transaction Code Enter Header Data Enter Budgetary Details (Line Items) Review Entries Using Check Icon Prepost Document Change Document Type to APO1 and click the Check button again Select the Prepost button to process the transaction and route to the workflow The second additional line is automatically generated

58 Simulation Activities Throughout this training, users will have the opportunity to conduct activities in the form of simulations. Simulations are interactive recordings of the Umoja system used to help facilitate a hands-on learning experience. The simulation links are provided on the corresponding activity slides. Users can access simulations in three different modes: Show me: Users view a video of an entire transaction being conducted Let s do it together: Users will be prompted to input data at key points during the transaction (recommended) Try it: Users can complete an entire transaction on their own, with no additional instructions provided 58

59 Activity 1 Transaction Name: Manually Enter Budget Details Transaction Code: FMBB Link to the uperform simulation: ?mode=EU&originalContext=

60 Module 2 Summary The key points covered in this module are: The first step to enter the budget is to choose the correct mix of Budget Type and Document Type; if the wrong combination is chosen, the Budgeting Workbench will return an error message The manual method to enter an Appropriation in Umoja 60

61 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 61

62 Module 3 Objectives After completing this module, you will be able to: Explain the importance of the Budget Transfer process Distinguish between the three types of Budget Transfers Allotment, Suballotment and Redeployments Execute three types of budget Transfers Allotment, Sub-allotment and Redeployments using the Manual Method 62

63 Budget Transfer Process Appropriations are non-consumable budget types. They must be transferred to Allotments before they can be earmarked for spending. This module looks at how the Transfer Process can be used to issue Allotments. In addition, it also examines Sub-Allotments and Redeployments, which are performed using the Transfer Process as well. 63

64 Transfer Process: Budget Types and Document Types For the process to transfer budget, the Budget Types and Document Types are: Allotments Budget Types Allotments Document Types 1. AALT Advance Allotment 2. ALLT Allotment 3. APRI Appropriation Ready for Issue 4. SALT Sub Allotment 1. AA01 Advance Allotment 2. AL01 Allotment 3. ALR1 Redeployment Within 4. ALR2 Redeployment Between 5. SA01 Sub Allotment 6. GMRI Redeployment Within We ll now examine how the Document Types and Budget Types can be combined to perform Allotments, Sub-allotments and Redeployments. 64

65 Transfer Process: From Appropriation to Allotment As stated earlier, Appropriations are nonconsumable budget types. A transfer must first be made to a consumable budget type before spending can begin. Recall that when the Appropriation was entered in Umoja, only a one line non-balanced entry was made. The system automatically created a balancing line (APRI) from where the Allotment will be issued. Line 1 : Sender (-) Document Type: AL01 - Allotment Line 2 : Receiver (+) To issue an Allotment from an Appropriation, two balancing lines for the same Document Type: AL01 Allotment will be made. APRI Appropriation Ready for Issue Budget Type ALLT Allotment 65

66 Transfer Process: Appropriation Ready for Issue to Allotment 1 Appropriation Ready for Issue (APRI): This was the second line automatically created when we completed the process to enter an appropriation in Umoja 2 Allotment (ALLT): These are specific commitment item groups to which we are issuing budgetary amounts to. We are converting the appropriation (non-consumable) budget amounts to issued allotments (consumable) budget amounts 1 2 Note: You cannot allot more than what has been appropriated and approved (Appropriation ready for Issuance APRI) 66

67 Transfer Process: Allotment to Sub-Allotment Allotments are issued for specified Commitment Item Classes, as well for given Funds Centers. A higher level Funds Center can further transfer some or all of its budget to Funds Centers below it. This will be a Sub-Allotment. To do this, two balancing lines for the same Document type will be entered as follows: Document Type: SA01 Sub-Allotment Budget Type: ALLT Allotment Budget Type: SALT Sub Allotment Illustration Suppose there are a number of projects that the Engineering Section has planned to undertake. The entire budget of the projects could first be allotted to the Engineering Funds Center and from there, sub-allotted to each project. 67

68 Transfer Process: Redeployment If available funds in a Commitment Item Group are insufficient to meet spending needs, the situation can be remedied in one of two ways: 1 Redeploy funds from another 2 Commitment Item Class within the same Commitment Item Group Example: Move funds to FT20_CI_Class_140: Medical from FT20_CI_Class_145: Special Equipment Redeploy funds across Commitment Item Groups Example: From FT20_CI_Class_010: International Staff to FT20_CI_Class_140: Medical, both of which are in different Commitment Item Groups Commitment Item Group 1 Commitment Item Group 2 Commitment Item Class 1 Commitment Item Class 2 Commitment Item Class 3 Commitment Item Class 4 Commitment Item Class 5 Commitment Item Class

69 Transfer Process: Redeployment Within each Commitment Item Group, the CMS has full authority to redeploy funds between Commitment Item Classes provided: The authorized strength of Military and Police personnel cannot be exceeded The staffing table for Civilian personnel must be respected Funds allocated to Quick-impact projects cannot be increased without prior approval from the Director, Peacekeeping Financing Division Redeployment of funds between groups requires prior to approval of the Director, Peacekeeping Financing Division. Requests for such redeployment must be accompanied by adequate justification. 69

70 Transfer Process: Redeployment The combination of Budget Type and Document Type in each of the two types of redeployments will be as follows: 1. Re-deployment Within the same Commitment Item Group Document Type: ALR1 - Redeployment Within (Commitment Item Group) Line 1 Sender (-): Budget Type: ALLT Allotment Line 2 Receiver (+): Budget Type: ALLT Allotment 2. Re-deployment Across different Commitment Item Groups Document Type: ALR2 - Redeployment Between (Commitment Item Groups) Line 1 Sender (-): Budget Type: ALLT Allotment Line 2 Receiver (+): Budget Type: ALLT Allotment Having outlined the different outcomes of the Transfer Process namely, Allotment, Sub-allotment and Redeployment, the rest of the this module will be devoted to the SAP steps to perform the process. 70

71 Transfer Process: Redeployment Within Same Commitment Item Group 1 Line 1 Sender (-): 2 Budget Type: ALLT Allotment Line 2 Receiver (+): Budget Type: ALLT Allotment

72 Transfer Process: Methods We ll use the Manual Method to execute a budget Transfer Process: Manual Entry Each field of the Budgeting Workbench will be filled out manually. Plans are underway to build an interface that will upload Allotments from BIS into Umoja. 72

73 Transfer Process: Overview of the Manual Method The steps of the process to execute a budget transfer in Umoja are as shown below: Start Transaction Select Transfer Enter Sender and Receiver Lines Check Document Prepost Document 73

74 Start Transaction Start Transaction Select Transfer Enter Sender and Receiver Lines Check Document Prepost Document On the SAP Easy Access screen, perform the following steps to execute the required transaction: 1 Enter the transaction code FMBB in the Command field 2 Click the Enter icon The Budgeting Workbench Create Document Screen displays

75 Select Transfer Start Transaction Select Transfer Enter Sender and Receiver Lines Check Document Prepost Document The Budgeting Workbench Create Document screen displays. Select Transfer from the Process dropdown list 1 The Budgeting Workbench Create The Document Budgeting screen Workbench will refresh with Create two sub Document screen will refresh with additional sections Sender pre-populated and Receiver. fields. In the Sender sub section: 1 75

76 Enter Sender and Receiver Lines Start Transaction Select Transfer Enter Sender and Receiver Lines Check Document Prepost Document On the screen: Select AL01 (Allotment) from the Document Type dropdown 1 2 Enter 0 in the Version field In the Sender Sub-Section, 3 4 Enter the Fiscal Year Enter the Grant

77 Enter Sender and Receiver Lines Start Transaction Select Transfer Enter Sender and Receiver Lines Check Document Prepost Document In the Sender sub section: 5 Enter data for the fields Funds and Budget Period 6 Select the Period from the Period dropdown 7 Click the Enter icon 6 Note: When you select Enter, the receiver section pre-populates, based on the information entered in the sender section

78 Enter Sender and Receiver Lines Start Transaction Select Transfer Enter Sender and Receiver Lines Check Document Prepost Document Enter or select the following fields as required: Funds Center Commitment Item Amount (USD) Text

79 Check Document Start Transaction Select Transfer Enter Sender and Receiver Lines Check Document Prepost Document When a document is ready: Click the Check icon to ensure there are no errors and gives you a message on the bottom left hand corner 1 2 Click the Messages log button to resolve any errors, if available

80 Prepost Document Start Transaction Select Transfer Enter Sender and Receiver Lines Check Document Prepost Document 1 Click the Prepost button 1 80

81 Learning Checkpoint 1 The document type should be selected during the Transfer Budget process. Fill in the blank with the correct option. A. APS1 B. AL01 C. RTN1 D. AVL1 81

82 Learning Checkpoint 2 The document type should be selected during the Transfer Budget process. Fill in the blank with the correct option. A. APS1 B. AL01 C. RTN1 D. AVL1 Option B is the correct answer. The AL01 document type should be selected during the Transfer Budget process. 82

83 Activity 1 Transaction Name: Transfer Budget Transaction Code: FMBB Link to the uperform simulation: ?mode=EU&originalContext=

84 Module 3 Summary The key points covered in this module are: Appropriations become consumable budget types when they are transferred to Allotments Allotments are issued to Funds Centers to be used within specified Commitment Item Classes. They can be further sub-allotted to Funds Centers below in the Funds Center Hierarchy Funds can be redeployed between Commitment Item Classes of the same Commitment Item Group or from one Group to another. Approval of the workflow in each case is based on Delegation of Authority Budget Transfers are done using the Transfer Process. An interface is being built which will upload Allotments from BIS directly into Umoja 84

85 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 85

86 Module 4 Objectives After completing this module, you will be able to: Explain the need for supplementing budgets Execute the steps in the process to supplement budgets 86

87 Budget Supplement Process: Commitment Authority In the course of a budgetary period, it may become necessary to increase the budget of say, a PKM. For instance, this is could be due to a significant increase in the mandate of the mission necessitating additional resources, which were not foreseen in the current budget. Often, the increase in the budget will be met through a Commitment Authority. This module looks at how a Commitment Authority is brought into Umoja to increase the budget of a mission. We ll see that in many respects, the Supplement Process is similar to the Enter Process. 87

88 Supplement Process: Commitment Authority A Commitment Authority is a short-term funding bridge mechanism pending the submission of a fully detailed and justified budget to the GA. It is decided upon on an urgent basis for the start-up of a new mission or the expansion of an existing one (see Financial Regulations and Rules of the United Nations, regulation 4.6) when there is no time for the considered reasoning that goes into preparing a full programme budget and setting up an organizational structure. 88

89 Supplement Process: Commitment Authority It is issued in one of two formats: Commitment Authority Without Assessment The SG is authorized by the ACABQ to spend up to 100 million US$ without assessing Member States. Instead the SG will draw from emergency funds. Commitment Authority With Assessment The SG is authorized by the GA to spend more than 100 million US$. Funding will come from assessments on Member States. Knowing the format of the Commitment Authority is important in order to correctly choose the Budget and Document Types to put together. Note: When there is a special budget approved by commitment authority, Document Type CA02 (commitment authority With Assessment) is posted using this budget type CAWA. 89

90 Supplement Process: Budget Types and Document Types The budget types and document types for the Supplement process are as follows: Budget Types Appropriations 1. APRO Appropriation Received 2. APRI Appropriation Ready for Issue 3. CATH Commitment Authority 4. CARI Commitment Authority Ready for Issue 5. CAWA Commitment Authority with Appropriation Allocation Revenue 1. AREV Allocation Revenue Received 2. ARRI Appropriation Ready For Issue Document Types Appropriations 1. APS1 Supplement 1 Appropriation 2. APS2 Supplement 2 Appropriation 3. APS3 Supplement 3 Appropriation 4. CA01 Commitment Authority without Assessment 5. CA02 Commitment Authority with Assessment Allocations 1. AR01 Allocation Received 90

91 Supplement Process: Budget Types and Document Types Commitment Authority Without Assessment Budget Type Commitment Authority (CATH) Document Types Commitment Authority Without Assessment (CA01) Commitment Authority With Assessment Budget Type Commitment Authority (CATH) Document Types Commitment Authority With Assessment (CA02) Note: In each case a one non-balanced Budget Type (CATH) line is entered. As you recall, this is a non-consumable budget type, much like an Appropriation. The Commitment Authority will first be transferred to an Allotment for spending to begin. This transfer will come from a new Budget Type automatically created by the system as a balancing line to the initial CATH budget type line. This second budget type line is: CARI Commitment Authority Ready for Issue 91

92 Supplement Process: Manual Method The steps to execute a budget supplement in Umoja are as shown below: Start Transaction Select Supplement Enter Header Data Enter Line Details Check Document Prepost Document 92

93 Start Transaction Start Transaction Select Supplement Enter Header Data Enter Line Details Check Document Prepost Document On the SAP Easy Access screen, perform the following steps to execute the required transaction: 1 Enter the transaction code FMBB in the Command field 2 Click the Enter icon 2 1 When you click the Enter icon, the Budgeting Workbench Create Document Screen opens. 93

94 Select Supplement Start Transaction Select Supplement Enter Header Data Enter Line Details Check Document Prepost Document The Budgeting Workbench Create Document screen displays. 1 Select Supplement from the Process drop-down list

95 Enter Header Data Start Transaction Select Supplement Enter Header Data Enter Line Details Check Document Prepost Document In the Header tab: 1 Select APS1 (Supplement 1 Appropriation) from the Document type dropdown 2 Enter 0 in the Version field 3 Enter the Fiscal Year 4 Click the Enter icon. The Budgeting Workbench Create Document screen will refresh with additional pre-populated fields. Enter or select the fields for Grant, Funds, Budget Period, Functional Area and Funded Program, as required

96 Enter Line Details Start Transaction Select Supplement Enter Header Data Enter Line Details Check Document Prepost Document Enter or select the following fields as required: 1 Funds Center 2 Commitment Item 3 Amount (USD) Text

97 Check Document Start Transaction Select Supplement Enter Header Data Enter Line Details Check Document Prepost Document When a document is ready: 1 Click the Check icon to ensure there are no errors and gives you a message on the bottom left hand corner 2 Click the Messages log button to resolve any errors, if available

98 Prepost Document Start Transaction Select Supplement Enter Header Data Enter Line Details Check Document Prepost Document 1 Click the Prepost button 1 98

99 Learning Checkpoint 1 Which document type should be selected during the Supplement Budget process for a Commitment Authority without assessment? Select the correct option. A. CA01 B. AL01 C. RTN1 D. AVL1 99

100 Learning Checkpoint 1 Which document type should be selected during the Supplement Budget process for a Commitment Authority without assessment? Select the correct option. A. CA01 B. AL01 C. RTN1 D. AVL1 Option A is the correct answer. The CA01 document type should be selected during the Supplement Budget process. 100

101 Activity 1 Transaction Name: Supplement Budget Transaction Code: FMBB Link to the uperform simulation: ?mode=EU&originalContext=

102 Module 4 Summary The key points covered in this module are: The Supplement process is in many respect like the Enter process. While the budget types are the same for both processes, the document types are different for Appropriations The Umoja steps to execute a budget supplement 102

103 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 103

104 Module 5 Objectives After completing this module, you will be able to: Explain the importance of the Budget Returns process Complete a budget return 104

105 Budget Returns Process A budget by its very nature, is an estimate of intended spending. In most cases, actual spending differs from the budget. When the budget falls below actual spending, a deficit arises, which maybe met by an increase in the budget. We examined this scenario through the Supplement Process When on the contrary, it turns out that more was budgeted than is to be spent, a saving is said to have been realised The Returns Process is used to record savings. This is the focus of this module. 105

106 Returns Process: Budget Types and Document Types The budget types and document types for the Returns Process are as follows: Budget Types Appropriations 1. APRO Appropriation Received 2. CATH Commitment Authority 3. CAWA Commitment Authority with Appropriation 4. MSBL Member State Balance Allotment 1. RTN1 Return Document Types 106

107 Returns Process: Savings When it is considered that funds available for spending are in excess of spending requirements (for example decrease in mandate) the savings have to be returned to Member States. The freed up funds are first placed in the General Fund from where they are returned to Member States. A Return is the Enter process in reverse. 1. If the funds to be returned came from an Appropriation, we ll have Document Type: RTN1 Return Budget Type: APRO Appropriation 2. If the funds to be returned came from a Commitment Authority, we ll have Document Type: RTN1 Return Budget Type: CATH Commitment Authority 107

108 Overview of Budget Returns Process The steps to execute a budget return in Umoja are as shown below: Start Transaction Select Return Enter Header Data Enter Line Details Check Document Prepost Document 108

109 Start Transaction Start Transaction Select Return Enter Header Data Enter Line Details Check Document Prepost Document On the SAP Easy Access screen, perform the following steps to execute the required transaction: 1 Enter the transaction code FMBB in the Command field 2 Click the Enter icon The Budgeting Workbench Create Document Screen opens

110 Select Return Start Transaction Select Return Enter Header Data Enter Line Details Check Document Prepost Document On the Budgeting Workbench Create Document screen, perform the following steps: 1 Select Return from the Process dropdown

111 Enter Header Data Start Transaction Select Return Enter Header Data Enter Line Details Check Document Prepost Document On the Budgeting Workbench Create Document screen, perform the following steps: 1 Select RTN1 (Return) from the Document Type drop-down 2 Enter 0 In the Version field 3 Enter the Fiscal Year and select the period from the Period dropdown 4 Press Enter The screen will refresh with additional pre-populated fields. Enter or select the fields for Grant, Funds, Budget Period, Functional Area and Funded Program as required

112 Enter Line Details Start Transaction Select Return Enter Header Data Enter Line Details Check Document Prepost Document On the Payment Budget screen, enter or select the following fields as required: 1 Funds Center 2 Commitment Item 3 Functional Area 4 Funded Program

113 Check Document Start Transaction Select Return Enter Header Data Enter Line Details Check Document Prepost Document On the Budgeting Workbench Create Document screen, perform the following steps: 1 Select the Check Document icon to ensure there are no errors 2 Select Messages Log to resolve any errors if available

114 Prepost Document Start Transaction Select Return Enter Header Data Enter Line Details Check Document Prepost Document On the Budgeting Workbench Create Document screen, perform the following step: 1 Select Prepost 1 114

115 Learning Checkpoint 1 The document type should be selected during the Return Budget process. Fill in the blank with the correct option. A. APS1 B. AL01 C. RTN1 D. AVL1 115

116 Learning Checkpoint 1 The document type should be selected during the Return Budget process. Fill in the blank with the correct option. A. APS1 B. AL01 C. RTN1 D. AVL1 Option C is the correct answer. The RTN1 document type should be selected during the Return Budget process. 116

117 Activity 1 Transaction Name: Return Budget Transaction Code: FMBB Link to the uperform simulation: ?mode=EU&originalContext=

118 Module 5 Summary The key points covered in this module are listed below: A budget return is a decrease in the overall budget amount for funds It frees up currently allotted funds to the general fund or to a budget superior to it It must be pre-approved using appropriate UN channels 118

119 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 119

120 Module 6 Objectives After completing this module, you will be able to: Explain the budget closing activities in Fund Management Explain the residual balance transfer process 120

121 Budget Closing Operations The closing operations for the budgetary closing, which are done in Funds Management, are divided into two parts: Month end closing Budget period end closing The periods can be closed for the entire organization or by individual FM account assignment. Month end Closing Open and close of posting periods Revaluation of open commitments Period end Closing Close open commitments Fund balance carry forward Transfer residual budget to nonconsumable budget type as balance to be returned to or adjusted against Member States dues 121

122 Closing Operations: Closing Commitments Unless action is taken, an open commitment document remains active indefinitely. Controls are implemented with the use of a Budget Period so that the liquidation against actual expenditure is allowed only up to a specific time period. At certain intervals, efforts are made to close the appropriate open commitments and a more detailed review is done at the end of the budget period. Actions Taken: Regular Budget Biennium Cycle Regular Budget Annual Cycle Peacekeeping At the end of the first year (December) of the Biennium, automated steps are taken to close out open commitments. These steps will be run to close open commitments that have exceeded 12 months beyond the end of the budget period in which these were created. At the end of the second year of the Biennium, users will research open commitments and close those that should be completed. 122

123 Closing Operations: Closing Commitments Regular Budget Biennium Cycle Regular Budget Annual Cycle Peacekeeping At the end of the financial year (Jan/December), all open commitments that have exceeded 12 months beyond the end of the budget period in which these were created will be automatically closed. 123

124 Closing Operations: Closing Commitments Regular Budget Biennium Cycle Regular Budget Annual Cycle Peacekeeping At the end of the financial year (June/July), all operational (non-military), open commitments that have exceeded 12 months beyond the end of the budget period in which these were created will be closed. Military-related open commitments that have exceeded 60 months beyond the end of the budget period in which these were created, will be closed. Automated steps will be carried out and open commitments will be used for the liquidation. 124

125 Residual Balance Transfer At the beginning of each Non-Peacekeeping biennium (January of an even year) and Peacekeeping financial period (July each year), the residual budget (unencumbered balance of the approved consumable budget) in FM will be transferred to non-consumable budget to ensure that it won t be available for spending. Non-Peacekeeping Biennium Transfer the residual budget in FM to Non-Consumable Budget Peacekeeping Financial Period Residual Budget = Consumable Budget - (Commitments + Actuals) 125

126 Residual Balance Transfer Since Peacekeeping s fiscal period will cross two partial system fiscal years, the budget transfer program will need to be run twice; once for the current fiscal year and once for the prior fiscal year. Both runs will have the same Receiver period (July of the current fiscal year). Current Fiscal Year Budget Transfer Program Will be run twice Both runs will have the same Receiver Period Prior Fiscal Year 126

127 Learning Checkpoint 1 Which of the following are included in the period end closing activity in Budget Distribution? Select all that apply. A. Revaluation of open commitments B. Close open commitments C. Open and close of posting periods D. Transfer residual budget to non-consumable budget 127

128 Learning Checkpoint 1 Which of the following are included in the period end closing activity in Budget Distribution? Select all that apply. A. Revaluation of open commitments B. Close open commitments C. Open and close of posting periods D. Transfer residual budget to non-consumable budget Options B and D are correct answers. Period end closing includes close open commitments, fund balance carry forward and transfer residual budget to non-consumable budget. 128

129 Module 6 Summary The key points covered in this module are listed below: The closing operations for the budgetary closing is divided into two parts - month end closing and budget period end closing The liquidation against actual expenditure is allowed only up to a specific time period A detailed review of open commitments is done at the end of the budget period Open commitments for closing Operations are closed in: Regular Budget Biennium Cycle, Regular Budget Annual Cycle and Peacekeeping At the beginning of each Non-Peacekeeping biennium and Peacekeeping financial period, the residual budget in FM will be transferred to non-consumable budget to ensure that it won t be available for spending 129

130 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 130

131 Module 7 Objectives After completing this module, you will be able to: Explain documents and workflows 131

132 Key Terminology Workflow Key Term Funds Document Description A consistent, repeatable business process in Umoja. Document created a result of a financial transaction carried out in the Funds Management module. 132

133 Workflows based on document type Depending on the document type used in the budget document, different workflow approval steps are involved. The table shows the approval steps involved for all document types. Doc Type TEA DA1 DB1 DC1 DD1 DE1 NF1 Data Entry Agent Intermediate Approver Approving Agent Budget Officer Chief of Section Director (Final Approver) Notification APO1 Original Appropriation X X X RTN1 Return X X X AP02 Appropriation Superseding Commitment Authority X X X APS1 Supplement 1 Appropriation X X X APS2 Supplement 2 Appropriation X X X APS3 Supplement 3 Appropriation X X X AR01 Allocation Revenue X X X CA01 Commitment Authority without Assessment X X X CA02 Commitment Authority with Assessment X X X AA01 Advance Allotment X X X X AL01 Allotment X X X X SA01 Sub Allotment X X X ALR1 Redeployment Within Delegated Authority Level 1 X X X X ALR2 Redeployment Within Delegated Authority Level 2 X X X X X X X GMRI GM Redeployment for Grant X X X X X X X 133

134 Budget Distribution Workflow: End-to-End Process The end-to-end process of budget distribution workflow is as follows: View Workplace Inbox Select the Workflow Item Review the item Approve/Reject the Item Review status of workflows 134

135 Budget Distribution Workflow View Workplace Inbox Select The Workflow Item Review The Item Approve/Reject the Item Review Status of Workflows To view the business workplace, perform the following step: 1 Click the Business Workplace icon from the SAP Easy Access screen 1 135

136 Budget Distribution Workflow View Workplace Inbox Select The Workflow Item Review The Item Approve/Reject the Item Review Status of Workflows To select the business workplace, perform the following step: 1 Click the Workplace icon 1 All items waiting for your approval will be in your inbox

137 Budget Distribution Workflow View Workplace Inbox Select The Workflow Item Review The Item Approve/Reject the Item Review Status of Workflows To review an item, perform the following steps: Click the Inbox icon to see all workflow items awaiting your review Select the Workflow line item to review 2 Alternatively, you can enter T-Code SBWP in the Command field. 137

138 Budget Distribution Workflow View Workplace Inbox Select The Workflow Item Review The Item Approve/Reject the Item Review Status of Workflows In the decision step in workflow window, carry out the following steps: 3 Review the key elements of the earmarked fund document currently in workflow shown in the Description section 4 Select the link under the Objects and Attachments section to display document details

139 Budget Distribution Workflow View Workplace Inbox Select The Workflow Item Review The Item Approve/Reject the Item Review Status of Workflows The screen presents the following alternatives: 1 Approve/Review, which is used for approval 2 Reject, which is used to send the workflow back to creator and reject Cancel and keep work item in inbox, which is used to return to previous Umoja Screen without any action 139

140 Budget Distribution Workflow: Certify/Approve Option Chosen Impact Approve/Review Budget Distribution Document Approved Reject Budget Distribution Document Rejected Cancel and keep work item in Inbox No Action Taken, Returned to Workflow Inbox 140

141 Budget Distribution Workflow View Workplace Inbox Select The Workflow Item Review The Item Approve/Reject the Item Review Status of Workflows 4 Select Approve/Review if you choose to certify or approve the workflow item 5 Once you select Approve/Review, the workflow item will proceed to the next approver/reviewer or be ready for use 6 You will return to inbox and see no pending items the workflow item has been removed 4 141

142 Budget Distribution Workflow View Workplace Inbox Select The Workflow Item Review The Item Approve/Reject the Item Review Status of Workflows 7 Select the Reject option if choose to reject the workflow item 8 Provide a rejection reason the Justify Your Decision pop-up display

143 Budget Distribution Workflow View Workplace Inbox Select The Workflow Item Review The Item Approve/Reject the Item Review Status of Workflows 1 Select the Started Workflows icon under Outbox to review the status of all budgetary workflows you have approved, certified or rejected 1 143

144 Workflow If a document is rejected, the TEA who created the document needs to end the workflow before the document moves to an Undone status. Note: FMBB documents cannot be changed (other than text fields). If the master data and/or amount is not correct, a new document needs to be created and re-routed through workflow. 144

145 Budget Distribution: Create & Print Allotment Advice Forms The end-to-end process of creating and printing Allotment Advice Forms is as follows: Enter Transaction Code Review Posted (Approved) Allotment Begin Document Generation Process Select Long Text Button Select Standard or Custom Document Header Text Save HHM Budget Entry Document Save and Print Allotment Advice Form 145

146 Create & Print Allotment Advice Forms Enter Transaction Code Review Posted (Approved) Allotment Begin Document Generation Process On the SAP Easy Access screen, perform the following steps to execute the required transaction: 1 Enter the transaction code FMBB in the Command field 2 Click the Enter icon

147 Create & Print Allotment Advice Forms Enter Transaction Code Review Posted (Approved) Allotment Begin Document Generation Process To review the Posted Allotment, carry out the following steps: 1 Navigate to the appropriate allotment document located under the Posted sub-folder and double click the item 2 Review the allotment advice details which will display on the right hand side of your screen

148 Create & Print Allotment Advice Forms Enter Transaction Code Review Posted (Approved) Allotment Begin Document Generation Process 1 Click on the Pencil / Glasses icon next to Document Overview to begin the document generation process, navigate to the change mode 1 148

149 Create & Print Allotment Advice Forms Select Long Text Button Select Standard or Custom Document Header Text Save HHM Budget Entry Document Save and Print Allotment Advice Form 1 Click the Standard Text icon on the Change HHM Screen to display the Insert Text pop-up window 149

150 Create & Print Allotment Advice Forms Select Long Text Button Select Standard or Custom Document Header Text Save HHM Budget Entry Document Save and Print Allotment Advice Form On the Insert Text Pop-up, carry out the following actions : 1 Enter Z_ALLOT_ADVICE_PK in the Text Name field and FMED in the Text ID field 2 Select the Expand Immediately checkbox 3 Click the Continue icon Text Name Description Z_Allot_Advice_PK Z_Allot_Advice_RB Standard Text for Peacekeeping Standard Text for Regular Budget Text ID FMED Note: If you do not select the Expand Immediately checkbox, standard text will not display on the Change HHM Budget Entry Document screen. 150

151 Standard Text: Regular Budget and Peacekeeping The standard text for Regular Budget Allotment Advice forms and Peacekeeping Allotment Advice forms is shown below. These can be modified for usage. Regular Budget Allotment Advice Forms Peacekeeping Allotment Advice Forms 151

152 Create & Print Allotment Advice Forms Select Long Text Button Select Standard or Custom Document Header Text Save HHM Budget Entry Document Save and Print Allotment Advice Form On the Change HHM Budget Entry Documents screen, the standard text options chosen in the Insert Text pop-up will display in the Microsoft Word Editor portion of the screen. The text can be modified as needed, using word processing techniques typically carried out in MS Word. Carry out the following action on the Change HHM Budget Entry Documents screen : Select the Save icon

153 Create & Print Allotment Advice Forms Select Long Text Button Select Standard or Custom Document Header Text Save HHM Budget Entry Document Save and Print Allotment Advice Form On the Change HHM Budget Entry Documents screen, a confirmation in the status bar confirms that the standard text for the Allotment Advice Form has been saved. This text will serve as the cover page for the Allotment advice form. Carry out the following action: 1 Select the Back icon 1 153

154 Create & Print Allotment Advice Forms Select Long Text Button Select Standard or Custom Document Header Text Save HHM Budget Entry Document Save and Print Allotment Advice Form On the Budgeting Workbench Change Document page, carry out the following actions : 1 Click the Save Changes button 2 From the Document menu, select the Print option from the dropdown menu 3 On the Print pop-up displayed, enter PDF1 in the Output Device field 4 On the Print pop-up displayed, click the Print Preview button

155 Create & Print Allotment Advice Forms Select Long Text Button Select Standard or Custom Document Header Text Save HHM Budget Entry Document Save and Print Allotment Advice Form On the SAP GUI Security pop-up, carry out the following actions : 1 Select Remember My Decision checkbox 2 Click the Allow button

156 Create & Print Allotment Advice Forms Select Long Text Button Select Standard or Custom Document Header Text Save HHM Budget Entry Document Save and Print Allotment Advice Form On the Print Preview screen that is displayed, review the details and overall layout of the Allotment Advice Form. 1 2 Note: Similar to functionality in standalone PDF Readers, you may save, print and resize the view of the Allotment advice Form using the provided menu. 156

157 Learning Checkpoint 1 What is the basis for the workflow approval for a budget document in Budget Distribution? Select the correct option. A. Document Date B. Document Type C. Budget Type D. Budget Period 157

158 Learning Checkpoint 1 What is the basis for the workflow approval for a budget document in Budget Distribution? Select the correct option. A. Document Date B. Document Type C. Budget Type D. Budget Period Option B is the correct answer. The workflow approval depends on the document type used in the budget document. 158

159 Activity 1 Transaction Name: Approve Budget Entry Document via Workflow Transaction Code: SBWP Link to the uperform simulation: ?mode=EU&originalContext=

160 Module 7 Summary The key points covered in this module are listed below: Depending on the document type used in the budget document, different workflow approval steps are involved If a document is rejected, the TEA who created the document needs to end the workflow before the document moves to an Undone status. 160

161 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 161

162 Course Summary The key points covered in this course are listed below: Budget Implementation in Umoja involves processes to enter, transfer, supplement and return allotments Earmarked funds are business transactions that claim budget that is already allocated for expected expenditures The tool used to upload/enter a budget allotment, monitor and report on its use is the Budget Control System (BCS) Budget types are used for categorizing and sub-dividing the budget in the BCS Document types are used to classify the budget into finer details, beyond the Budget process and Budget types, according to user-specific criteria The Umoja steps to manually enter the budget and upload the budget The Umoja steps to execute a budget supplement, budget transfer and budget return The budget closing operations- month end closing and period end closing 162

163 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 163

164 Course Assessment Now that you have completed all the modules in this course, you can test your knowledge by completing the Course Assessment. To receive credit for completing this course, you must pass this assessment with a minimum score of 90%. To complete the assessment you must return to the Learning Management System: 1. Log into Inspira 2. Navigate to Main Menu -> Self-Service -> Learning -> My Learning 3. Search for the name of the course under the My Learning Activities section 4. Click the Start link of the course assessment 5. Click the Submit button once you have completed the assessment 164

165 Agenda Course Introduction Module 1: Budget Distribution in Umoja Overview Module 2: Budget Entry (Appropriations) Module 3: Budget Transfers (Allotments & Redeployments) Module 4: Budget Supplements (Commitment Authority) Module 5: Budget Returns (Savings) Module 6: Budget Closing Activities Module 7: Documents and Workflows Course Summary Course Assessment Course Survey 165

166 Course Survey Your feedback is important to the continuous improvement of our training program. Please complete the evaluation for this course using the following steps: 1. Log into Inspira 2. Navigate to Main Menu -> Self-Service -> Learning -> My Learning 3. Search for the name of the course under the My Learning Activities section 4. Click the Start link of the course survey 5. Click the Submit button once you have completed the course survey 166

167 Congratulations! You have successfully completed the Umoja Budget Distribution course. 167