R 171100Z NOV 23
MSGID/GENADMIN/CMC WASHINGTON DC PR & DC IL//
SUBJ/GUIDANCE FOR DEFENSE AGENCIES INITIATIVE ACCOUNT SEGREGATION OF DUTIES//
NARR/REF A IS SYSTEM AND ORGANIZATION CONTROLS 1 REPORT - DESCRIPTION OF THE DEFENSE LOGISTICS AGENCY (DLA)'S DEFENSE AGENCIES INITIATIVE (DAI) SYSTEM. REF B IS INTERIM GUIDANCE FOR THE PERFORMANCE OF DEFENSE AGENCIES INITIATIVE (DAI) COMPLEMENTARY USER ENTITY CONTROLS.//
POC/G.D. ROTSCH/COL/UNIT: DC PR WASHINGTON DC/TEL: 703-614-3413/E-MAIL: GARY.D.ROTSCH@USMC.MIL//
POC/F.L. MCLINTICK/COL/UNIT: DC IL WASHINGTON DC/TEL: 571-256-2741/E-MAIL: FRANK.MCCLINTICK@USMC.MIL//
POC/R.M. HORNING/CAPT/UNIT: DC PR WASHINGTON DC/TEL: 703-692-4969/E-MAIL: RAYMOND.HORNING@USMC.MIL//
POC/B.D. COOK/MAJ/UNIT: DC IL WASHINGTON DC/TEL: 571-256-7111/E-MAIL: BRADLEY.COOK@USMC.MIL//
POC/R.L. BURNAND/CIV/UNIT: DC PR BSMO INDIANAPOLIS IN/TEL: 317-200-3534/E-MAIL: ROBERT.L.BURNAND @USMC.MIL//
POC/J.D. DELIRA/MGYSGT/UNIT: DC IL WASHINGTON DC/TEL: 571-256-7119/E-MAIL: JONAS.DELIRA@USMC.MIL//
POC/T.D. USSERY/MGYSGT/UNIT: DC PR WASHINGTON DC/TEL: 703-692-5408/E-MAIL: TIMOTHY.USSERY@USMC.MIL//
GENTEXT/REMARKS/1. SITUATION. This MARADMIN is a collaborative effort by Deputy Commandants (DCs) for Programs & Resources (P&R) and Installations & Logistics (I&L) to prepare the workforce to comply with the Audit controls for responsibilities in Defense Agencies Initiative (DAI). This message addresses Complementary User Entity Control (CUEC) 9 for Segregation of Duties (SOD) as outlined in references (A) and (B). DAI responsibilities between the Financial Management and Logistics communities are essential to mitigating risk of material financial inaccuracies and fraud. SOD for Oracle Time and Labor (OTL) was addressed in MARADMIN 234/21.
2. MISSION. CUEC 9 requires SOD for all users within DAI. As system owners of DAI, the DAI Program Management Office (PMO) define SOD controls and clarify which responsibility combinations create risk. The United States Marine Corps (USMC) concurs with DAI PMO’s risk assessment but will continue to assess risk and provide SOD control guidance as appropriate. This MARADMIN establishes a joint policy between the Financial Management and Logistics communities for SOD in DAI.
3.a. CONCEPT OF OPERATIONS.
3.a.1. All DAI users will be in compliance with SOD requirements. The USMC SOD Matrix is located at the following hyperlink: https:(slash)(slash)tso-confluence.mcw.usmc.mil/pages/viewpage.action?pageId= 154706278.
3.a.2. Approximately 250 users at Levels 2-4 are in conflict with SOD due to holding both Financial Management and Logistic responsibilities and roles. These minor adjustments to business practices will largely prepare the workforce to be compliant with SOD for DAI levels 2-4 for FY24 and beyond.
3.a.2.a. Financial Management.
3.a.2.a.1. P2P Procurement Analyst. Financial Management will execute the new DAI responsibility “P2P Procurement Analyst” to enable technical support for the Logistics community while restricting the Financial Managers ability to initiate and receipt for P2P actions.
3.a.2.a.2. P2P Unmatched Transaction by Others (TBO) Manager. Financial Management users will retain the “P2P Unmatched TBO Manager” which enables unmatched transaction resolution. Financial Management users will no longer maintain the responsibility “P2P Receipts”.
3.a.2.a.3. O2C AR Manager and O2C CA Project Manager. To avoid this responsibility conflict, “O2C AR Manager” will be provisioned to PMOS 3408 and 3451 personnel while O2C CA Project Manager will be assigned to PMOS 3404 personnel.
3.a.2.b.1. P2P Procurement Officer. Logistics users will retain “P2P Procurement Officer” which enables users to initiate and certify requisitions and obligations.
3.a.2.b.2. P2P Receipts. I&L shall obtain and retain the “P2P Receipts” responsibility to record receipts within DAI to ensure prompt payment of invoices and resolution of problem disbursements. Logistics users will no longer maintain the responsibility “P2P Unmatched TBO Manager”.
3.b.1. DAI Users. DAI users will compare provisioned responsibilities in Access Request Management Service (ARMS) and DAI to determine if they have conflicting responsibilities per the USMC DAI SOD Matrix. Users have until 8 Dec 2023 to self-remove responsibilities.
3.b.2. L2-L4 Commands. If commands have insufficient personnel to distribute responsibilities between users and maintain all required operational functions, they will present their limitations to P&R Budget and Execution Division (RBE) and I&L Logistics Division (LP). By 8 Dec 2023, commands should report SOD issues to their L2 to communicate to the L1 (HQMC) for resolution.
3.b.3. P&R RBE and I&L LP. RBE will establish an Enterprise Task Management Software Solution (ETMS2) tasker to collect L2 consolidated feedback regarding impacts of this MARADMIN. RBE will establish a virtual venue for L2 commands to express realized impacts from SOD implementation. RBE and LP will adjudicate L2 elevated issues to balance financial and operational risk.
3.b.4. Business System Management Office (BSMO) User Management (UMX) Team.
3.b.4.a. Establish internal controls. ARMS and DAI contain controls to prevent the provisioning of conflicting responsibilities. Non-compliant users will have conflicting responsibilities removed following an analysis of reports to identify and monitor users with a combination of responsibilities that violate SOD compliance.
3.b.5. Logistics Community.
3.b.5.a. A DC I&L Tier .5 help desk, located virtually by region (East, West, West Pac), will operate during normal business hours of the respective region with an expected interim operating capability on or about 13 Nov 2023. The I&L Tier .5 Help Desk is available through the OMB mailbox ILDAITier_5HD@usmc.mil.
3.b.5.b. The DC I&L Tier .5 help desk will provide point of use assistance to the supply/logistics community of users and will aim to resolve issues at the local level to the maximum extent practical.
3.b.5.c. For those issues that require further investigation and assistance from the established Financial Management Tier .5 help desk located at the L2 command level, the DC I&L Tier .5 help desk personnel will discuss the unit’s specific issue and collectively determine required resolution measures and provide the results to the customer.
3.b.5.d. If the issue is unresolvable, the DC I&L Tier .5 help desk will submit a JIRA DAI Help Desk (DHD) ticket request to the Tier 1 help desk on behalf of the unit explaining the issue and monitor progress through satisfactory resolution and final customer notification.
3.b.5.e. The DC I&L Tier .5 help desk will integrate into the daily DAI battle rhythm events and will be capable of responding to issues including questions on UMX and SOD, feeder system interface and transaction issues, and identify DAI functions or issues that require follow-on training.
3.c. COORDINATING INSTRUCTIONS
3.c.1. Information Owners (IOs) are responsible for provisioning and recertifying DAI responsibilities to users within their command. IOs are responsible for ensuring required documentation to include Delegation of Authority Letters, DD Form 577s, and Cyber Awareness Challenge certificates have been uploaded to ARMS to support provisioning and recertification.
4. ADMINISTRATION AND LOGISTICS.
4.a. DAI users utilize ARMS to process electronic SAARs to obtain authorization for requested DAI responsibilities.
4.a.1. ARMS can be accessed at the following hyperlink: https:(slash)(slash)odsf.mcw.usmc.mil/odsf/.
4.a.2. Assistance for DAI responsibility provisioning and termination in ARMS can be found at the following hyperlink: https:(slash)(slash)tso-confluence.mcw.usmc.mil/display/DKB/DAI+ARMS+Access+Request.
4.b. DAI users add responsibilities to their accounts in DAI based on ARMS SAAR approval. DAI can be accessed from the following link: https:(slash)(slash)ebs.dai.csd.disa.mil/OA_HTML/banner_appsLogin.jsp.
5. This MARADMIN is applicable to the Marine Corps Total Force.
6. Release authorized by Senior Executive Service Edward C. Gardiner, Deputy Commandant for Programs and Resources (Acting) and Lieutenant General Edward D. Banta, Deputy Commandant for Installations & Logistics.//