Account Role and Delegate Compliance Status Report

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Prerequisites

Prior to reading the instructions on the Account Role and Delegate Compliance Status Report, reviewing the relevant IU policies and training resources, such as those listed below, is highly recommended:

  1. FIN-ACC-1: Role of Fiscal Officer, Account Manager and Account Supervisor
  2. FIN-ACC-10: Ranking of Fiscal Officer, Account Supervisor, Account Manager, and Delegation of Signature Authority
  3. Financial Processing in KFS
  4. Administrative Documents
    • Contains the following critical information about Account Delegates and System Access:
      • Delegate Overview - How Account Delegates function within KFS, BUY.IU, and Chrome River, including the distinction between primary and secondary delegates.
      • Using the Account Delegate Document - How to add a new delegate (or remove an existing one) without overwriting existing delegates.
      • System User Role Guide - How to obtain or maintain system access to KFS, a requirement for Account Delegates.

Overview

This report was created to assist with the management of KFS account responsibility roles (Fiscal Officer, Account Manager, and Account Supervisor) and primary and secondary delegation assignments that are no longer valid or appropriate. Maintaining accurate responsibility roles and delegates on accounts facilitates a strong internal control environment and workflow approvals within IU’s financial systems. This report should be used for two forms of review:

  1. To identify and remedy responsibility roles and delegations deemed to be “out of compliance”.
  2. To periodically assure that responsibility roles and delegations are still appropriate given the department’s organizational structure and each individual’s current job responsibilities.

Once review is complete, the fiscal officer may edit an account’s Fiscal Officer, Account Manager, and Account Supervisor designations via the Account document (doc type ACCT). To update multiple accounts within an organization, the Account Global document (doc type GACC) is used. Updating delegations is achieved via Account Delegate (doc type ADEL) document or Account Delegate Global document (doc type GDLG). These maintenance documents are located in the KFS Chart of Accounts module.

Non-Compliance

Fiscal officers should run the Account Role and Delegate Compliance Status Report on a quarterly basis to review and update the Primary and Secondary Delegates for their accounts. Based on Policies FIN-ACC-1 and FIN-ACC-10, non-compliance in this report is determined by not satisfying one or more of the following conditions:

  • Fiscal Officers:
    • Active or Leave status in HRMS (Employee Status Code equal to ('A', 'L', 'P', 'S', 'W')
    • Exempt (PAE) or non-exempt Professional Staff designation
    • Active KFS User role
    • OR Active in the Fiscal Officer Exception Role
  • Account Managers:
    • Active or Leave status in HRMS (Employee Status Code equal to ('A', 'L', 'P', 'S', 'W')
    • Exempt (PAE) or non-exempt Professional Staff designation
    • OR Active in Account Manager Exception Role
  • Account Supervisors:
    • Active or Leave status in HRMS (Employee Status Code equal to ('A', 'L', 'P', 'S', 'W')
    • Exempt (PAE) or non-exempt Professional Staff designation
    • OR Active in Account Supervisor Exception Role
  • Delegates (Primary and Secondary):
    • Active or Leave status in HRMS (Employee Status Code equal to ('A', 'L', 'P', 'S', 'W')
    • OR Employee Status Retired ("R") AND Active/Leave Job AND Active KFS User
    • OR Active in Delegate Eligibility Exception Role
    • Active KFS User role

*Employment Status Codes: A (active), L (leave), S (suspended), W (short work break), or P (leave with pay).

Primary and Secondary Delegates

In addition to compliance factors above, it is important to distinguish between primary and secondary delegations for KFS document routing. Additional information about primary and secondary delegates can be found at the prerequisites training linked above. See below for similarities and differences.

  • Both Primary and Secondary Delegations:
    • Are only relevant for KFS eDocs when the applicable document is in the Account route node, awaiting Fiscal Officer review
    • Can only be assigned to individual users, not to groups of users
    • Are account-specific assignments and may also be document-type-specific
    • Require the assigned individuals also to have the KFS User role
  • Only Primary Delegations:
    • Can only be assigned to one individual per account-document type combination
    • Replace the fiscal officer in document routing (but only at the Account node), meaning that the primary delegate will receive the document approval request in their action list, but the fiscal officer will not
  • Only Secondary Delegations:
    • Can be assigned to multiple individual users per account-document type combination
    • Do not impact document routing, and secondary delegates may act on behalf of the fiscal officer (or primary delegate, if one exists) by accessing the document via the Secondary Delegate drop-down menu feature in the Action List or via Document Search


Running the Report

Define the search parameters to return results relevant to your organization, specific account, etc. The search parameters available in the Account Role and Delegate Compliance Report are divided into three parameter types: Chart of Accounts Parameters, Display Parameters, and Report Specific Parameters.

The report will default to return Display Parameters for out of compliance (OOC) users on non-closed accounts. However, there also are options to return all non-closed accounts and/or all active delegates on non-closed accounts.

Once the report generates, multiple tabs display along the bottom of the spreadsheet. The number of tabs will depend on the parameters selected. If an individual is out of compliance, the cell is highlighted in yellow with red font. If there are no users that match the parameters, the sheet will be blank.

Screen displays the output of the Account Role and Delegate Compliance Status Report

Report Output Tabs: Abbreviation Descriptions

  • OOC FOs = Out of Compliance Fiscal Officers
  • OOC AMs = Out of Compliance Account Managers
  • OOC SPs = Out of Compliance Account Supervisors
  • OOC ADs = Out of Compliance Account Delegates
  • Open Accounts = All open accounts
  • Active Dlgts on Open Accounts = Active Delegates on all open accounts

Tabs that detail the Compliance Rules and Report Parameters (Parms) also displayed for reference. If there are questions related to running the report, requirements, reviewing results, or establishing compliance, please contact your (RC) fiscal officer or campus business office.

General Notes: Do not include any special characters other than approved wildcards in any of the below parameters. Additionally, do not run reports by campus as it will take up valuable computing services.

Click Save Parameter Settings to save your parameters for future use of this report. For instructions on how to save settings, review the Save Parameter Settings document on the Controller's Office Reporting Tools page.