New Feature: Segregation of Duties for UI Entry of a New Schedule

May 2021

With this release, we added an optional feature that creates a segregation of duties workflow for Schedules entered via the UI with Enter Schedule. This new feature does not apply to the import of a PIW.

This feature is optional, and customers can request that it be turned on via a Support ticket. We do recommend giving this a try during the Preview period for the 21R2 release if you think you may want to begin using it. It can also be turned off with a Support ticket.

Overview

Since the new segregation of duties workflow is optional, the default system behavior will be to have the feature turned off.

This workflow creates a final approve/reject step in the UI after the entry, booking, and classification of a new deal by a ‘preparer’. Then an ‘approver’ will be able to view all required screens in the deal but not make changes for a new deal entered via the UI with Enter Schedule. When the approve/reject workflow is turned on, a deal is booked and classified and sits in a “Pending Approval” status until reviewed and approved. The journal entries are created for the deal, but the ledger export is populated with the words “Pending Approval” in all of the cells for segments 3 & 4 on the report to prevent ERP transfers and to allow a review of the accounting.

To-Dos and Notifications are created throughout the process. There are guardrails placed in deals that are pending approval that prevent changes by the approver. In addition, there are multiple onscreen messages informing users of status and journal entry transferability.

With this workflow deals that have not been approved can have either a status of Incomplete or Pending Approval, depending on the path the deal has undergone. The paths are approval and rejection and will be covered in more detail below.

This feature works best by adding a new separate user to the system to leverage the strict control aspect of the workflow. For customers that wish to use this workflow with existing users that have an existing Access Level there will be guardrails in place restricting those users when they are ‘acting as the approver’ in a deal which was entered by someone else.

Basic Workflow:

Preparer enters the schedule details via the UI using Enter Schedule, books, and classifies the deal which sets the status to Pending Approval.
Approver logs in and approves or rejects the deal.
Approving the deal changes the status to Active.
Rejecting the deal changes the status to Incomplete and creates a Deal History event noting that further action is needed by the preparer.

Note: There is no ability to do bulk approvals at this time.

Workflow Requirements

Access Level Assignment

Lease entry through the UI can be done by users with permission to enter deals. Lease booking and classification can be done by users with permission to book and classify deals. Please review the Access Control Matrix to determine which Access Level works best for your business.

Approval of new leases entered via the UI will be restricted in different ways depending on the Access Level of the user with approval privileges.

The workflow can be done by users with existing Access Levels as stated above. However, a new Access Level of Accounting Reviewer – provides the strictest control for segregation of duties. A user with this access is only allowed to view deals and approve/reject deals that are incomplete or pending approval.

Users are still limited by Scope of Access and Scope of Ledgers.

This is a view-only Access Level, similar to the Observer/Monitor.

When a user with this level is reviewing a deal for approval, they will have rights to view:
- Deal History
- Deal Summary
- Schedule
- Asset Management
This Access Level has access to the approve/reject To-Dos and screens for:
- “Approve Deal” To-Do on Deal History
- “Approve / Reject” To-Do in Deal Summary, Summary
- Approve/Reject workspace

This Access Level will not see any ‘day two’ event options, such as:
- Record Asset Event
- Modify Deal
- Payment Adjustment Button
Reporting access is granted to all reports, by default, and is limited by Scope of Access and Scope of Ledgers. Report access can be edited by a Power User.
Settings workspace access is granted with view-only permissions.

The Accounting Reviewer level is able to see deals that are not in need of approval, e.g. active deals, but a user with this level can only view the deal characteristics they cannot make changes. This Level is like the Observer/Monitor Access Level with the added ability to approve and reject deals.

Can Act As Lessee Roles

Can Act As Lessee Roles are critical to the correct function of this workflow.

The following Can Act As Lessee Roles are required to be assigned to any user that will need to enter or approve deals using the workflow. Only one of the below Lessee Roles can be assigned to a single user. If a single user has both of these Can Act As boxes checked, they will not be able to perform any steps in the workflow process.

Accounting Analyst – if a user is going to be entering deals via Enter Schedule.
Accounting Approver – if a user is going to be approving/rejecting deals via Enter Schedule.

If an existing user has both of these Can Act As boxes checked one of them must be unchecked if the new workflow is to be instituted.

Workflow Steps

Steps UI Enter Schedule - New Users (Strict control)

New User acting as the Preparer with Access Level of Enhanced User or Data Entry User* and Required Can Act As of Accounting Analyst:

New User acting as the Approver with Access Level of Accounting Reviewer and Required Can Act As of Accounting Approver:

Step	Action
1	The Preparer enters deal through the UI with Enter Schedule.
2	Book deal. A warning message appears during this step:
3	Classify deal. A warning message appears during this step:
4	Status is Pending Approval.
5	Preparers are not able to approve deals that they enter.
6	Ledger Export has “Pending Approval” text in Segments 3 & 4.

Step	Action
7	All users with Accounting Approver Can Act As will see the new To-Do to Approve Deal in Deal History when logging in. Clicking on this To-Do takes the user to Deal Summary where they are able to access the Approve / Reject button. The approver is able to view the Deal History, Deal Summary, Asset Management, and Accounting Classification but cannot make any changes. Note: If a Book or Accounting Classification To-Do button is present in a deal it cannot be approved. To- Dos cannot be deleted when created as part of the workflow and cannot be created manually.
8	The Approver clicks on the Approve / Reject button and lands in the Approve/Reject workspace where they make a decision and add required comments. Note: The comments should be very clear as to what needs corrected if rejecting the deal. These comments appear in the Deal History, History and will guide the Preparer through the necessary corrections. They also appear in a notification email sent to the preparer.
9	Approved deals become Active immediately upon approval and the Ledger Export segments are populated with configured accounts.
10	Rejected deals move to Incomplete status and the Ledger Export still shows the “Pending Approval” text in Segments 3 & 4.

Step	Action
11	All Accounting Analysts are notified of the rejection via an email notification even if they were not the preparer of the deal. When Accounting Analysts login they see a To-Do to Correct Deal Details in Deal History. Clicking on this To-Do takes the user to the History tile where they are able to see the rejection event, additional instructions and the reason for rejection mentioned in step 8. To-Dos cannot be deleted when created as part of the workflow and cannot be created manually. The Correct Deal Details will only be removed after the deal is rebooked.
12	Whenever a deal is in Incomplete status an info message is displayed on Deal History, Deal Summary, Schedule, and Asset Management.
13	The Preparer corrects the concerns noted in the rejection event.
14	The Preparer must re-book using an enqueued To-Do Book deal and reclassify the lease. Once the Book and Classification buttons are acted on and removed from Deal History the approval path starts over and the status is Pending Approval.

*by design Data Entry User Access Level does not allow changes to be made to Asset Management.

Steps UI Enter Schedule - Existing Users (Example Access Levels)

Existing User 1 with Access Level of Enhanced User and Required Can Act As of Accounting Analyst:

Existing User 2 with Access Level of Power User and Required Can Act As of Accounting Approver:

Step	Action
1	User 1 enters deal through the UI with Enter Schedule.
2	Book deal. A warning message appears during this step:
3	Classify deal. A warning message appears during this step:
4	Status is Pending Approval.
5	User 1 is not able to approve deals that they enter.
6	Ledger Export has “Pending Approval” status in Segments 3 & 4.

Step	Action
7	All users with Accounting Approver Can Act As will see the new To-Do to Approve Deal in Deal History when logging in. Clicking on this To-Do takes the user to Deal Summary where they are able to access the Approve / Reject button. The approver is able to view the Deal History, Deal Summary, Asset Management, and Accounting Classification but cannot make any changes and they will not see any ‘day two’ event options. Note: If a Book or Accounting Classification To-Do button is present in a deal it cannot be approved. To- Dos cannot be deleted when created as part of the workflow and cannot be created manually.
8	User 2 clicks on the Approve / Reject button and lands in the Approve/Reject workspace where they make a decision and add required comments. Note: The comments should be very clear as to what needs corrected if rejecting the deal. These comments appear in the Deal History, History and will guide the User 1 through the necessary corrections. They also appear in a notification email sent to the preparer.
9	Approved deals become Active immediately upon approval and the Ledger Export segments are populated with configured accounts.
10	Rejected deals move to Incomplete status and the Ledger Export again has “Pending Approval” status in Segments 3 & 4.

Step	Action
11	All Accounting Analysts are notified of the rejection via an email notification even if they were not the preparer of the deal. When Accounting Analysts login they see a To-Do to Correct Deal Details in Deal History. Clicking on this To-Do takes the user to the History tile where they are able to see the rejection event, additional instructions and the reason for rejection mentioned in step 8. To-Dos cannot be deleted when created as part of the workflow and cannot be created manually. The Correct Deal Details will only be removed after the deal is rebooked.
12	Whenever a deal is in Incomplete status an info message is displayed on Deal History, Deal Summary, Schedule, and Asset Management.
13	User 1 corrects the concerns noted in the rejection event.
14	User 1 must re-book using an enqueued To-Do Book deal and reclassify the lease. Once the Book and Classification buttons are acted on and removed from Deal History the approval path starts over and the status is Pending Approval.

Possible Use Cases for UI Enter Schedule - Existing Users

Existing User 1 with Access Level of Enhanced User and Required Can Act As of Accounting Analyst Existing User 2 with Access Level of Power User and Required Can Act As of Accounting Approver Existing User 3 with Access Level of Power User and Required Can Act As of Accounting Approver

User 1 enters the deal and does not book it or cannot book it because of user permissions.
User 2 cannot approve the deal because there is still a Book to-do present on Deal History.
User 2 can book the deal.
User 2 cannot approve the deal because they booked it.
User 1 cannot approve the deal because they do not have approval privileges.
User 3 would have to approve the deal.

There are likely other use cases that cannot be described in this Product Advisory, since many customers have custom access levels not based on the standard LeaseAccelerator offerings. Please work with your CSM or Support while getting acquainted with this new feature if you run into scenarios are not explained above.

Additional Information

Deals in Incomplete or Pending Approval status are excluded from the MEC processes in LeaseAccelerator. The books for these leases will not be ‘closed’ if they have not been approved prior to close.
Deals in Incomplete or Pending Approval status are excluded from nightly maintenance procedures so they will not go into evergreen if they have backdated commencement dates.
- On that same note, if the “Auto-Record Default EOT Event” button is present it will not record the event if clicked. This will be hidden in future iterations of the feature for deals in Incomplete or Pending Approval status.
If a deal is rejected and correction is required for Unit Price, Product Category, Product Number, Manufacturer, or Description, then it must be deleted and reentered since these are not editable once a deal is booked. In order to delete the deal, the user must have privileges to do so.
If you are using LeaseAccelerator’s RFP and LvB features, and you progress to ‘Create Schedule’ from within either the RFP or LvB the new workflow will not be enabled in this version of the new feature.
Approval/Rejection of ‘Day 2’ events is not covered in this version of the new feature.
When the workflow is on, users that are neither an “Accounting Analyst” nor an “Accounting Approver” will only be able to enter, book, and classify (as allowed by permissions) and will not be able to approve a lease. This applies to Power Users, as well.
Deals created prior to turning on the workflow will not be eligible to go through the approve/reject workflow when it is turned ‘on’.
Likewise, deals created when the workflow is on and are in Incomplete or Pending Approval status, must proceed through the approve/reject workflow even if the feature is turned ‘off’.

LeaseAccelerator encourages you to take advantage of the Preview period to give this new feature a try!