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Umoja Presentation to OAH

Umoja Presentation to OAH. Grants Management Functionality 17 December 2012. Content. 1. Introduction to Umoja - What is Umoja? - Deployment Approach - Governance - What is in Foundation 2 . Grants Management Umoja Solution - Grantee Management Module - GM Master Data - Grant Budgeting

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Umoja Presentation to OAH

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  1. Umoja Presentation to OAH Grants Management Functionality 17 December 2012

  2. Content • 1. Introduction to Umoja • - What is Umoja? • - Deployment Approach • - Governance • - What is in Foundation • 2. Grants Management Umoja Solution • - Grantee Management Module • - GM Master Data • - Grant Budgeting • - GM Grant Budget Validity Periods - Time Slices • - Grant Availability Check Ledger • - Indirect Cost Calculation • - Grants Management reporting 3. Next steps • 4. Recap, Q&A Umoja Presentation to OAH - Grants Management Functionality

  3. What is Umoja? is an administrative reform initiative designed to help the United Nations operate more effectively by integrating and streamlining business processes that manage financial, human and physical resources within a single global solution for the entire Secretariat. Umoja Presentation to OAH - Grants Management Functionality

  4. Umoja Overview Project – Umoja Umoja is an administrative reform initiative that will provide the United Nations with modernized business processes and an Enterprise Resource Planning (ERP) system. System – SAP SAP Enterprise Resource Planning (ERP) 6.0 is the system that is being implemented by Umoja. It will replace some UN systems and will be connected with others in order to share information. SAP will provide a financially integrated and robust centralized system. SAP stands for Systems, Applications and Products in Data Processing. Umoja Presentation to OAH - Grants Management Functionality

  5. Deployment Approach • To accelerate progress, Umoja functionality will deployed as follows: • Umoja Foundation – Deployment: 2013 • Essential to support IPSAS requirements • Functionality to be delivered: finance (funds management and financial accounting), supply chain (real estate, plant maintenance, logistics execution, and procurement), project management, and sales & distribution (third-party procurement services and billing) • Umoja Extension 1 – Deployment: 2014 • Functionality to be delivered: organizational and position management, personnel administration, entitlements, benefits, time management, payroll, travel initiation, travel expenses, and on-line booking • Umoja Extension 2 – Deployment: 2016 (TBC) • The rest of the processes to complete full scope: budget formulation, force planning, programme management, supply chain planning, warehouse management, conference and event management, full grants management, and commercial activities • This approach enables the Organization to mitigate delay, absorb change at a tolerable rate, and address some of the risks associated with deploying a comprehensive solution in a global organization. Umoja Presentation to OAH - Grants Management Functionality

  6. Umoja Implementation Schedule Umoja Presentation to OAH - Grants Management Functionality

  7. Umoja Deployment Schedule & Clusters Umoja Presentation to OAH - Grants Management Functionality

  8. Umoja Governance Structure Umoja Presentation to OAH - Grants Management Functionality

  9. Umoja Governance Structure Umoja Presentation to OAH - Grants Management Functionality

  10. Key elements of the governance structure • The United Nations Management Committee is responsible for considering internal reform and management-related issues requiring strategic direction from the Secretary-General. It receives quarterly updates from Umoja, with a particular focus on monitoring the interdependencies of the Umoja and IPSAS implementation strategies. • The Umoja Steering Committee provides leadership and strategic guidance to the Umoja initiative, and is chaired by the USG of the Department of Management Yukio Takasu. The Committee meets monthly. • The Change Advisory Board assists in addressing and monitoring any proposed changes impacting the Umoja project’s scope, schedule, deliverables and costs. It provides advice and recommendation of actions to be taken to the Umoja Steering Committee for approval. • The five Process Owners are the principal change agents for their end-to-end, cross-functional processes, regardless of which functional area performs each transaction. They are the ultimate authority across the different UN Secretariat entities for the processes they lead. • The Umoja team is responsible for the day-to-day planning and execution of the project. Umoja Presentation to OAH - Grants Management Functionality

  11. Umoja Sponsors • Secretary-General, Ban Ki-moon • Project Owner • Yukio Takasu, Under-Secretary-General (USG), Department of Management • Steering Committee • Yukio Takasu (Chair), USG, Dept of Management • Susanna Malcorra, Chef de Cabinet • Ameerah Haq, USG, Dept of Field Support • Kim Won Soo, ASG, Change Implementation Team • Catherine Pollard, ASG, Office of Human Resources Management • Gina Casar, ASG, Office of Programme Planning Budgets and Accounts • Warren Sach, ASG, Office of Central Support Services • Franz Baumann, ASG, Dept  of General Assembly and Conference Mgmt • Dennis Thatchachaiwalit, Director of Management, UN Office at Vienna • Craig Boyd, Logistics Support Division, Department of Field Support • ASG, Chief Information Technology Officer (TBD) Umoja Presentation to OAH - Grants Management Functionality

  12. Umoja Process Owners • Gina Casar, ASG, Office of Programme Planning Budgets and Accounts • Warren Sach, ASG, Office of Central Support Services • Craig Boyd, Director, Department of Field Support (DFS) • Catherine Pollard, ASG, Office of Human Resources Management • Franz Baumann, ASG, Dept  of General Assembly and Conference Management Umoja Presentation to OAH - Grants Management Functionality

  13. Umoja Process Owners • Gina Casar, ASG, Office of Programme Planning Budgets and Accounts • Warren Sach, ASG, Office of Central Support Services • Craig Boyd, Director, Department of Field Support (DFS) • Catherine Pollard, ASG, Office of Human Resources Management • Franz Baumann, ASG, Dept  of General Assembly and Conference Management Umoja Presentation to OAH - Grants Management Functionality

  14. Umoja SAP Solution Overview – Umoja Foundation Central Support Services Supply Chain Finance & Programme Management Materials Management (MM) Controlling (CO) Real Estate (RE-FX) Financials (FI) Funds Management (FM) Sales & Distribution (SD) Controlling SAP ERP Modules Supplier Relationship Management (SRM) Plant Maintenance (PM) Grants Management (GM) Project Systems (PS) Supports the procurement and inventory functions of day-to-day business operations (e.g., purchasing, inventory management) Master data is maintained Manages supplier contracts for procurement Creates more transparency across UN property portfolio and in investment decisions Saves money on expense leases and increases revenue from income leases Manages inspection, preventative maintenance, and repair of equipment Helps record customer sales and ship products to customers – also known as order fulfillment Helps optimize all the tasks and activities in sales, delivery and billing – includes pricing and addresses for customers Facilitates management and external reporting of legally required financial information and documents Immediately after data is entered, the system displays information on updated accounts, account totals, and balances Allows Umoja to measure its flow of costs and revenue and is used for internal management and control of costs Tracks spending against budgeted programs and project structure Provides ability to budget, monitor, and control Commitment, Obligations, and Expenditures; reduce available budget as Purchase Requisitions and/or Purchase Orders are created; and prevent budget overruns by causing hard stops when funds are depleted SAP Descriptions Umoja Presentation to OAH - Grants Management Functionality

  15. Process Overview & SAP – Umoja Foundation Project Management • Project Initiation • Project Planning • Project Execution and Performance Monitoring Financial Accounting • Accounts Payable • Accounts Receivable • Asset Accounting • General Ledger • Taxes and Insurance Cost & Management Accounting • Accounting for Specific Events and Activities - Internal Orders • Overhead Accounting - Cost Centre Accounting Financial Management FM FI-AR • Budget Implementation • Grants Management GM FI-AP FI & CO FI-GL Services to the Public & Staff Cash Management & Treasury • Sales (third-party procurement services and billing customers) • Bank Management • Cash and Liquidity Management • Investment Accounting • Treasury and Risk Management – Investments SD FI-TR Source to Acquire PS • Requisition to Purchase Order • Low Value Acquisition • Contract Management SRM Facilities Management Employ to Dispose • Real Estate Administration • Real Estate Planning Receive to Distribute • Set Assembly and Execution • Equipment Assignment and Management • Equipment Maintenance and Operations • Decommission and Disposal • Inbound Processing • Outbound Processing • Warehouse and Storage MM RE-FX PM Human Resources will be deployed in Umoja Extension Umoja Presentation to OAH - Grants Management Functionality

  16. Grants Management Umoja Solution Umoja Presentation to OAH - Grants Management Functionality

  17. Overview – Grants Management Umoja Solution 2. Grants Management Umoja Solution Summary of Umoja Scope: Grants Management Umoja Grantee Management Module Grants Management Master Data Fund Sponsor Grant Grant Grant Type in Umoja Solution Grant Frameworks Grant Life Cycle Sponsored Program Sponsored Class - Grant Budgeting - Grant Budget Validity Period – Time Slices - Grant AVC Rules - Reporting 17 Umoja Presentation to OAH - Grants Management Functionality

  18. Summary of Umoja Scope: Grants Management • Umoja Foundation • Grantee Management solution Functionality: • Grant Status Management – Tracking throughout the life of the Grant from application to the closing • Grant Budget (Unreleased and Released) • Financial postings resulting from integration with other modules • Financial reports to Donors • Tracking and reporting of the Expenditure Reports submitted by Implementing Partners • Possibility to attached scanned agreement to the Grant • Umoja Extension • SAP Fund Raising Module Functionality: • Resource Mobilization • Donor proposal/agreement management • Donor Profile • SAP Grantor Management Module Functionality: • Application process and agreements with Grantees • Reporting from Grantees • Grantee Profile Umoja Presentation to OAH - Grants Management Functionality

  19. Umoja Grantee Management Solution Functionality • Provide separate views for the financial transactions of the UN and the Sponsor (Donor) • Relate sponsor requirements to the financial structures of the UN • Budget internal and external funding sources • Accommodate funds availability checking for budget items • Control postings • Accommodate funding period differences between the UN and sponsors • Provide integrated billing solutions • Calculate indirect costs ( overhead costs ) • Assign responsibilities (limited in Foundation) • Provide authorizations Umoja Presentation to OCHA - Grants Management Functionality

  20. New Concepts: Umoja Grants Management Master Data Objects Umoja Presentation to OAH - Grants Management Functionality

  21. New Concepts - Grants Management Objects • Fund • Sponsor • Grant • Sponsored Program • Sponsored Class Umoja Presentation to OAH - Grants Management Functionality

  22. Fund Fund - is: a separate and distinct accounting object containing a self-balancing set of accounts used to identify source and use of funding from voluntary contributions. It is established for the purpose of financing wholly or in part the cost of programme and project activities consistent with the Organization’s aims and policies. 22 Umoja Presentation to OAH - Grants Management Functionality

  23. Sponsor • A Sponsor: • a Donor in UN terminology, • is a government, institution or individual that provides funding to a grantee organization, in this case, the UN. Umoja Presentation to OAH - Grants Management Functionality

  24. Grant – Details and Examples Umoja Presentation to OAH - Grants Management Functionality

  25. Grant • Grant A Grant is an object that is used to maintain the terms and conditions of the Grantor’s contribution. • In cases where the UN is a Grantee, that is the UN receives contributions from Donors, the Grant represents the Donor’s Agreement. • In cases where the UN is a Grantor, that is the UN gives money to an Implementing Partner, the Grant represents the Funding Agreement. • Grant is a “central” piece of the Grants Management which ties together all the Grants Management Master Data Objects, e.g. Fund, Sponsor, Sponsored Program, Sponsored Classes, Grant Budget Rules. Different level of information is recorded on the Grant at a different stage of the Life Cycle of the Grant Umoja Presentation to OAH - Grants Management Functionality

  26. Grant: General Tab 26 Umoja Presentation to OAH - Grants Management Functionality

  27. Grant: Dimensions Tab 27 Umoja Presentation to OAH - Grants Management Functionality

  28. Grants: Terms and Conditions for Donor Agreement 28 Umoja Presentation to OAH - Grants Management Functionality

  29. Grant Types • The Grant Type is a key master data element that allows management of Grants to meet both the Donor’s requirements and the financial recording and reporting requirements of the UN. Grant Type is a customizable feature, therefore the UN can create as many Grant Types as needed to classify and describe UN Grants according to business requirements. • Grant type is used to define Grant’s controls and behavior. Once the Grant is saved the Grant Type can not be changed. • In Umoja Solutions there are four types of Grant: • Simple Grant • Resource Mobilization Grant • Main Implementation Grant, and • Passthrough Grant Umoja Presentation to OAH - Grants Management Functionality

  30. Grant Object in Umoja – Grants Frameworks Why four Grant Types? – Dictated by different Donor requirements to reporting Umoja Presentation to OAH - Grants Management Functionality

  31. Incoming Cash Posted • Expenditures and Payments Posted • Refunds of Cash Posted Simple Grant A Donor Contribution Agreement Relationship Simple : Passthrough 1 : N Passthrough Grant Passthrough Grant Passthrough Grant Passthrough Grant Passthrough Grant -1 • Expenditures and Payments Posted • Refunds by Implementing Partners Grant Object in Umoja: Framework I: Donor requires reporting on the Contribution Umoja Presentation to OAH - Grants Management Functionality

  32. Expenditures and Payments Posted • Incoming Cash Posted • Refunds Posted Donor Contribution Agreement Donor Contribution Agreement RMG2 (D3) Main Implementation Grant - 1 Donor 1 Contribution Agreement 1 RMG2 (D2) RMG1 (D1) Relationship MIG : Passthrough 1 : N Relationship RMG : MIG N : 1 Passthrough Grant Passthrough Grant Passthrough Grant Passthrough Grant Passthrough Grant -1 Grant Object in Umoja:Framework II–Donor requires the reporting on “pooled” expenditures • Expenditures and Payments Posted • Refunds by Implementing Partners Umoja Presentation to OAH - Grants Management Functionality

  33. Framework I - Determination criteria: • Donor requires reporting on the contribution. • Donor is providing voluntary contribution for a specific project, an activity on the project, group of projects, non-project related activity, material, service, program/subprogram objective, etc. The purpose of the contributions is reflected in Donor Agreement. • Maximum Donor control and restrictions and Minimum discretionary authority for the UN. • Programme Support Cost is unique to the donor agreement. • The Approving Budget officer based on the reports ensures that the grant budget is released based on cash availability. • Return of Interest and unspent balance could be required by the donor in the Donor Agreement. Umoja Presentation to OAH - Grants Management Functionality

  34. Framework II - Determination criteria: • Donor requires reporting on pooled expenditures. Donor does not require reporting on his individual contribution separately. • Donor is providing voluntary contribution for a specific project, group of projects (thematic grouping of projects), on-going activity, programme/sub-program objective, etc. reflected either in Donor Agreement or Note Verbal or Pledge Letter. • Minimum control from Donors – Maximum discretionary authority for UN. • Program Support Costs rate should be consistent for all participating donors. • Resource Mobilization Grants do not have budget. Main Implementation Grant has a budget. The Approving Budget officer based on the reports ensures that the budget is released based on cash availability. • Interests earned and / or unspent balances can be carried forward to a new organization and budget period (in case of the on-going activity). • Interests and unspent balance will have the consistent treatment for all participating donors. Umoja Presentation to OAH - Grants Management Functionality

  35. Grant Execution – UN Execution Umoja Presentation to OAH - Grants Management Functionality

  36. Grant Execution – UN Execution: Grants-Out (Outright Grants) 36 Umoja Presentation to OAH - Grants Management Functionality

  37. Grant Execution – UN Execution with Implementing Partner Umoja Presentation to OAH - Grants Management Functionality

  38. Initial Application Award Closing Closed 1 2 3 4 5 Approved by UN Approved by Donor Approved by UN Approved by Donor Initial Application In-Process Award Operational Rejected by Donor Ready for Closing Closing Operational Closing End Ready to Close Closed Cancelled Award Suspended Rejected by UN Closing Financial Closing Grant Life Cycle for Simple and Resource Grant Umoja Presentation to OAH - Grants Management Functionality

  39. Closing Closed Initial Award 1 2 3 4 Initial Award Operational Ready for Closing Closing Operational Closing Ready to Close Closed Cancelled Award Suspended Closing Financial Closing Grant Life Cycle for Main Implementation Grant Umoja Presentation to OAH - Grants Management Functionality

  40. Closing Closed Initial Application Award 1 2 3 4 5 Approved by UN Approved by IP Approved by UN Approved by IP Initial Application In-Process Award Operational Rejected by Donor Ready for Closing Closing Operational Closing End Ready to Close Closed Cancelled Award Suspended Rejected by UN Closing Financial Closing Grant Life Cycle - Passthrough Grant Status Management Umoja Presentation to OAH - Grants Management Functionality

  41. Grant Life Cycle - Change status to Application/ Approved By Donor 41 Umoja Presentation to OAH - Grants Management Functionality

  42. Sponsored Program – Details and Examples Umoja Presentation to OAH - Grants Management Functionality

  43. Grants Management Master Data – Sponsored Program • A Sponsored Program identifies a program of the Sponsor. It identifies the purpose of the Sponsor’s contribution. • Sponsored Program is a GM Master Data Object that is derived and cannot be manually entered. • Sponsored Program can be created for a specific project, an activity on the project, a group of projects, non-project related activity, material, service, program/subprogram objective, associated experts and so on, according to the specific Donor requirements. • Interpretation of the Donor Agreement will determine the Sponsored Program(s). Umoja Presentation to OAH - Grants Management Functionality

  44. Sponsored Program in Umoja – Basic Data Tab 44 Umoja Presentation to OAH - Grants Management Functionality

  45. Sponsored Program in Umoja – Budget Transfer Tab 45 Umoja Presentation to OAH - Grants Management Functionality

  46. Sponsored Class – Details and Examples Umoja Presentation to OAH - Grants Management Functionality

  47. Grants Management Master Data – Sponsored Class • Sponsored Class: • a Master Data Object which is used to provide budgetary control and • to support reporting to Donors based on their specific requirements • records sponsor by revenue and expense classifications. Umoja Presentation to OAH - Grants Management Functionality

  48. Sponsored Classes Umoja Solution – Example Sponsored Class Description Income AS1-VC-CASH Contribution in Cash AS1-VC-GOODS VC Goods in Kind AS1-VC-SERVICES VC in Services AS1-INTEREST-INCOME Interest Income AS1-MISC-INCOME Misc income Expenditures AS1-STAFF-PERSONNEL Staff and other personnel cost AS1-SUPPL-COM-MATER Supply, Commodity, Material AS1-EQUIP-VEH-FURNIT Equip, Vehicles and Furniture AS1-CONTRACT-SERVICE Contractual Services AS1-TRAVEL Travel AS1-OPER-OTHER-COSTS Operating & Other Direct Cost AS1-GRANTS-OUT Grant Out Expenditure w/o PT AS1-TRANSFER-IP Transfers to IPs w/ PT PSC-EXP-UN PSC UN Umoja Presentation to OAH - Grants Management Functionality

  49. Sponsored Class Umoja solution – Basic Data Tab 49 Umoja Presentation to OAH - Grants Management Functionality

  50. Grant Budgeting Umoja Presentation to OAH - Grants Management Functionality

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