(GL) Reviewing Budget Check Exceptions

Inevitably, some transactions fail the budget checking process or cause the Budget Processor to issue a warning. Such transactions are marked by the Budget Processor as exceptions. Commitment Control provides processes and pages to notify appropriate users of these exceptions. Depending on the nature of the exception and the security authority granted to the user, a user can handle budget exceptions by changing transactions, adjusting budgets, or by simply viewing and noting them.

Follow a menu path to inquire on information entered on purchase orders, vouchers, direct journals and GL Journal Budget Check Exceptions that are in the Process Status of "Errors Exist" or "Only Warnings Exist." Users can also access Reporting Tools through the Main Menu to run different PS Queries in order to view budget exceptions for specific transactions.

Reviewing Budget Check Exceptions for VouchersReviewing Budget Check Exceptions for Vouchers

There are two methods to locate budget check exceptions for vouchers: InquiryInquiry or QueryQuery

Steps

https://ohid.ohio.gov/wps/myportal/gov/myohio/ > Financials > NavBar > Menu > Commitment Control > Review Budget Check Exceptions > Accounts Payable > Review KK Voucher

Verify the Business Unit.
Choose Between as the Commitment Control Tran Date operator.
Enter beginning and end date in the Commitment Control Tran Date fields to narrow search results.
- Entering the Commitment Control Tran Date will greatly narrow search findings.
Choose "=" " Errors Exist" in the Process Status field.
Click Search.

The Search Results displays at the bottom of the Voucher page.
The Search Results display by default in descending order by the Commitment Control Tran ID. Clicking any column header will sort all the data in ascending or descending order by that column heading.

Click on the desired row (under any of the columns) to review the error.

The Voucher Exceptions tab displays.

The ledger CC_AGY_TRK is an example of an Agency Track budget with errors. The CC_ALLOT ledger is an example of an Allotment Budget with errors. The CC_APPROP is an example of an Appropriation Budget with errors. All three errors are tied to the same detailed transaction coded on the specified voucher. According to the above screen a budget does not exist for those three ledgers.

Select the Budget ChartFields tab in the Budgets with Exceptions section to view the budgeted values on this transaction.

The Budget ChartFields tab information is displayed.
This tab rolls up the detailed ChartField values to the values specific to the OAKS FIN budget structure. (i.e., Account rolls up to the category level, 520).

Click the Details icon for the Budget with Exceptions line in question.

The Payables Voucher Line Drill Down page displays.

Check the above budget lines against the budget lines provided.

https://ohid.ohio.gov/wps/myportal/gov/myohio/ > Financials > NavBar > Menu > Reporting Tools > Query > Query Viewer

OH_AP_BUDGET_EXCEPTIONS: View budget errors relating to Vouchers. This query asks users to input the agency Business Unit.

Verify the dropdown shows the default “Query Name.”
Enter "OH_AP_BUDGET_EXCEPTIONS" in the begins with field.
Click the Search button.

The Search Results display.

Click the HTML link under the Run to HTML column, OR
Click the Excel link under Run to Excel.
- This will run the results of the query to an Excel spreadsheet..

The prompt page displays in a new window.

Enter the agency Business Unit in the Unit field.
Click View Results.
If using Excel, click Save.
Click Open.
- File may open differently depending on web browser settings.

The result will run to a spreadsheet.

In the Excel spreadsheet displayed above, column O holds the “Excptn Type.”

Exceptions fall into two categories: ErrorsErrors and WarningsWarnings.

Warnings are exceptions that do not conform to the rules of the control budget, but have been passed along and update the Commitment Control ledgers nonetheless. Warnings function as exceptions that are automatically overridden, as well as alerts to certain situations that could adversely impact the budget and budgetary processing.

Warnings, rather than errors, will be issued in the following situations:

The system inherently defines the transaction exception as a warning.

This is the case, for example, with the warning that the budget date does not equal the accounting date and the warning that the transaction exceeds the remaining available budget but is within tolerance.

The control option for the control budget definition is Track with Budget, or Control Initial Document. If one of these options was selected when defining the agency budgets, transactions that would otherwise generate an error exception merely require an audit trail and examination and do not need to be stopped.

The most commonly experienced warnings are W1, and W2.

Warning Codes	Description	Notes
W1	Exceeds budget but is within tolerance.	Transaction exceeds available budget balance, but is within the tolerance allowed. .
W2	Exceeds budget, but is a track or non-initial transaction.	Transaction exceeds budget, but the control option for the control budget definition is Tracking with Budget, Tracking without Budget, or Control Initial Document. For tracking without budget, no warning is issued for detail tracking ledger groups. If it is not a detail tracking ledger group and a budget row exists, even if it is for a zero amount, a W2 warning is issued if the transaction exceeds the available spending. If no budget row exists, no warning is issued.
W3	Budget date and accounting (transaction) date are not equal. .	N/A
W4	Override of the error of Exceeds budget and is over tolerance.	Overrides always generate warnings.
W5	SA (spending authority) exceeds non-control budget amount.	Credit transaction caused spending authority (available budget balance) to exceed original budgeted amount for a budget whose control option is Tracking with Budget, or Tracking without Budget, or Control Initial Document. This warning does not occur if Allow Increased Spending Authority is selected for the control budget definition on the Ledgers for a Unit - Commitment Control Options page. See W2. .
W6	Override of the error of SA (spending authority) exceeds budgeted amount.	See W4.
W7	Override of the error of Budget is on hold.	See W4.
W8	Override of the error Date is out of bounds.	See W4.
W9	Closed budget periods exist in cumulative set.	One or more budget periods within a cumulative budgeting set has been closed. .
W10	Override of the error of Statistical budget is on hold.	N/A
W21	Exceeds statistical budget but is within tolerance.	See W1.
W22	Exceeds non-control statistical budget.	See W2, W21.
W24	Override of the error of exceeds statistical budget.	See W4.
W25	SA (spending authority) exceeds non-control statistical budget amount.	See W5, W21.
W26	Override of the error of SA (spending authority) exceeds statistical budget amount.	See W4.
W27	No liquidation on statistical amount due to different statistics code.	Warning is issued when a transaction (such as a voucher) and its referenced document (such as a purchase order) have different statistics code, so that the liquidation of the referenced document does not occur.
W33	Override of the error of Funding is expired.	Warning is issued if the E33 exception is overridden.
W34	Budget date outside dates specified on the Expiration ChartField page.	Warning is issued if the E34 exception is overridden.
W35	Associated expenditure budget is below zero.	Warning is issued if a reduction in revenue causes the remaining spending available for an associated expenditure budget inclusive of tolerances to fall below zero.
W36	Required key CF (ChartField) is blank.	Warning is issued if the control option is Tracking without Budget.
W37	Associated statistical expenditure budget is below zero.	Warning is issued if a reduction in revenue causes the remaining spending available for an associated statistical expenditure budget inclusive of tolerances to fall below zero.
W38	Funding is expired.	The budget date on the transaction line is beyond the expiration date specified on the Expiration CF (ChartField) page within the budget definition and the transaction line is attempting to increase (put money back into) the budget's remaining spending authority.
W57	Entry Event code is blank.	Warning is issued when Entry Event value is blank on the budget journal line and Entry Event is set to Optional on Installation Options - Entry Event page.
W61	Override of error for Funding Source does not have enough funding.	N/A
W62	Exceeds available funding.	Warning is issued when the Funding Source does not have enough funding to cover the expense on the control ChartField and the control option is Tracking with Budget, Tracking without Budget, or Control Initial Document on non-initial document.
W63	The amount of a credit transaction is over the total funding source spending.	N/A
W64	Parent does not exist.	Warning is issued when the Child Budgets Exceed Option is checked on Budget Definitions - Control Budget Options page.

Errors are exceptions that have failed budget checking because they do not conform to the rules established for that control budget. Transactions with errors are not allowed by the system to update the Commitment Control budget ledgers. Most errors occur when a transaction has at least one line that exceeds at least one budget and is over tolerance. Depending on the configuration of the control budgets, the exact reason that a budget has insufficient funds will vary from budget to budget. The budget may be on hold, closed, or simply lacking a sufficient available budget amount.

Transactions with errors stop at the budget check stage and do not proceed until they are corrected or overridden and are budget checked again.

The most commonly experienced errors are E1, E2, and E3.

Error Code	Description	Notes
E1	Exceeds budget and is over tolerance.	N/A
E2	No budget exists.	N/A
E3	Budget is closed.	N/A
E4	Budget is on hold.	N/A
E5	Transaction has offset account.	The transaction line contains an account value that is reserved as an offset account.
E6	Budget date is out of bounds.	N/A
E7	Spending authority over budget.	Credit transaction caused spending authority (available budget balance) to exceed original budgeted amount. This error does not occur if Allow Increased Spending Authority was selected for the control budget definition on the Ledgers for a Unit - Commitment Control Options page.
E8	CF (ChartField) funding source error.	A funding source allocation row for a project budget exists without a corresponding budget amount having been entered in the Commitment Control ledger data table (LEDGER_KK).
E9	Cumulative calendar data not found.	Budget is defined for cumulative budgeting with a cumulative calendar, but the calendar is not found.
E10	Cumulative date range not found.	Budget is defined for cumulative budgeting with a cumulative date range, but the date range is not found.
E11	Exceeds budget and is over tolerance for referenced row.	When a transaction (such as a voucher) and its referenced documents (such as purchase orders) impact different budgets, the Budget Processor budget-checks the liquidation rows for the referenced documents separately from the transaction itself. Errors E11 through E20, E23 through E25, and E30 occur for the referenced (liquidation) row.
E12	No budget exists for referenced row.	See E11.
E13	Budget is closed for referenced row.	See E11.
E14	Budget is on hold for referenced row.	See E11.
E15	Transaction has offset account for referenced row. .	See E11.
E16	Budget date is out of bounds for referenced row.	See E11.
E17	Spending authority over budget for referenced row.	See E7, E11.
E18	CF (ChartField) funding source error for referenced row.	See E8, E11.
E19	Cumulative calendar data not found for referenced row.	See E9, E11.
E20	Cumulative date range not found for referenced row.	See E10, E11.
E21	Exceeds statistical budget and is over tolerance.	Occurs for budgets with statistical budgeting enabled.
E22	Statistical budget does not exist.	See E21.
E23	Exceeds statistical budget and is over tolerance for referenced row.	See E21.
E24	Statistical budget does not exist for referenced row.	See E11, E21.
E25	Spending authority over statistical budget for referenced row.	See E7, E11, E21.
E26	Ledger data missing for referenced row.	See E11.
E27	Spending authority over statistical budget.	See E7, E21.
E28	Referenced document has been finalized.	The transaction (such as a voucher) has a referenced document (such as a purchase order) that has already been fully liquidated.
E29	Funding source allocation not found.	There are no funding source allocations for the funding source enabled budget (i.e., project budget related to the transaction.) This only applies if funding source tracking is enabled for the control budget definition and the Project ID in the transaction is flagged as Funding Source Controlled.
E30	Funding source allocation not found for referenced row.	See E11, E29.
E31	Current budget period not in cumulative range.	Cumulative budgeting has been set up incorrectly for the budget, such that a budget period defined as part of the cumulative range does not, in fact, fall within the cumulative range. For example, assume that cumulative budgeting is set up for the date range of 01/01/2018 through 02/28/2018 and include monthly budget periods 20018M1 (covering January), 20018M2 (covering February), and 20018M3 (covering March). The budget period 20018M3 does not fall within the cumulative date rage, and an error results when a transaction that is budget checked has a budget date that falls within budget period 20018M3.
E32	Current budget period not in cumulative range for referenced row.	See E11, E31.
E33	Funding is expired.	The budget date on the transaction line is beyond the expiration date specified on the Expiration CF (ChartField) page within the budget definition and the transaction line is attempting to reduce the budget's remaining spending authority.
E34	Budget date outside specified dates.	The budget date on the transaction line is outside either the begin or end date specified on the Expiration CF (ChartField) page within the budget definition.
E35	Required key ChartField is blank.	Value Required option is set to Required for this key CF (ChartField) on Budget Definitions - Keys and Translations page, but on the transaction line this CF (ChartField) does not have a value.
E36	ChartField errors exist.	The budget journal line violates the ChartField combination rules.
E37	Statistical budget is on hold for referenced row.	See E11.
E38	Statistical budget is on hold.	N/A
E40	Statistical budget is not enabled on the budget definition.	Apply to budget journal edit.
E42	Transaction has account that belongs to an excluded account type.	The budget journal line contains an account value that belongs to an excluded account type.
E43	Transaction has excluded account.	The budget journal line contains an account value that is excluded from commitment control.
E44	Budget period is invalid.	Apply to budget journal edit.
E45	Non key CF (ChartField) has a value.	Non key CF (ChartField) on the budget journal line should be blank.
E46	Invalid ChartField value.	The budget journal line contains invalid ChartField value.
E47	ChartField value not valid for budget.	The budget journal line contains invalid ChartField value for budget.
E48	CF (ChartField) value not at tree level..	The budget journal line contains a ChartField value not at the defined tree level.
E49	Key ChartField is blank.	Key ChartField on the budget journal line is blank.
E50	Child budget exceeds the parent budget.	Applies to child budget journal edit when Child Budgets Exceed Option is not checked on Budget Definitions - Control Budget Options page. The Budget Processor issues this error when processing a child budget journal having a child budget ledger group.
E51	Child budget exceeds the parent budget.	Applies to parent budget journal edit when Child Budgets Exceed Option is not checked on Budget Definitions - Control Budget Options page. The Budget Processor issues this error when processing parent budget journal having the parent budget ledger group.
E52	Invalid ledger value.	N/A
E57	Entry event is required.	Entry Event value is blank on the budget journal line when Entry Event is set to Required on Installation Options - Entry Event page.
E58	Entry event should be blank.	Entry Event value is not blank on the budget journal line.
E59	Invalid entry event code.	The budget journal line contains an invalid Entry Event code.
E60	Funding Source allocations are not yet completed.	Funding Source allocation errors exist.
E61	The Funding Source does not have enough funding.	The Funding Source does not have enough funding to cover the expense on the control ChartField when the control option is Control or Control Initial Document on initial document.
E62	The amount of credit transaction is over the Overall Amount.	The amount of credit transaction is over the Overall Amount defined on the funding source allocation page.
E63	Funding Source Required	Applies to budget journal edit.
E64	Parent budget does not exist.	Applies to budget journal edit.
E65	Exceeds funding source allocation amount.	Applies to budget journal edit.
E66	Funding source should be blank.	Applies to budget journal edit.
E67	Budget date is NULL.	Applies to budget journal edit.
E90	Invalid budget definition.	N/A
E91	Translation tree error found.	N/A
E92	SetID error found.	N/A
E96	Budget period not found.	N/A
E97	Budget definition not found.	N/A
E98	No fiscal year calendar found.	N/A
E99	Invalid parent/child reference.	Applies to budget journal edit.

Reviewing Budget Check Exceptions for Payroll JournalsReviewing Budget Check Exceptions for Payroll Journals

Reviewing Budget Check Exceptions for POs Reviewing Budget Check Exceptions for POs

There are two methods to locate budget check exceptions for purchase orders: InquiryInquiry or QueryQuery

Steps

https://ohid.ohio.gov/wps/myportal/gov/myohio/ > Financials > NavBar > Menu > Commitment Control > Review Budget Check Exceptions > Purchasing and Cost Management > Review KK Purchase Order Txn

Enter the Business Unit.
Choose Between as the Commitment Control Tran Date operator.
Enter beginning and end date in the Commitment Control Tran Date fields to narrow search results.

Entering the Commitment Control Tran Date for the Process Status of “Errors Exist” will greatly narrow search findings.

Click Search.

The Search Results display at the bottom of the Purchase Order page.
The Process Status column defines the choice as Error.

Click the preferred row under any column.

The Purchase Order Exceptions tab displays.

Check the above budget lines against the budget lines provided.

https://ohid.ohio.gov/wps/myportal/gov/myohio/ > Financials > NavBar > Menu > Reporting Tools > Query > Query Viewer
OH_PO_BUDGET_ERRORS1: View budget errors relating to Purchase Orders. This query asks users to input the agency Business Unit.

Verify the dropdown shows the default “Query Name.”
Enter "OH_PO_BUDGET_ERRORS1" in the begins with field.
Click the Search button.

The Search result displays.

Click the HTML link under the Run to HTML column, OR
Click the Excel link under Run to Excel.

This will run the results of the query to an Excel spreadsheet.
A prompt page displays in a new window.

Enter the agency Business Unit in the Unit field.
Click View Results.
Click Open.

File may open differently depending on web browser settings.
The result will run to a spreadsheet.

In the Excel spreadsheet displayed above, column P holds the “Excptn Type, and column U shows the description of the error or warning.

Exceptions fall into two categories: ErrorsErrors and WarningsWarnings.

Warnings, rather than errors, will be issued in the following situations:

The system inherently defines the transaction exception as a warning.

The control option for the control budget definition is Track with Budget, or Control Initial Document. If one of these options was selected when defining the agency budgets, transactions that would otherwise generate an error exception merely require an audit trail and examination and do not need to be stopped.

The most commonly experienced warnings are W1, and W2.

Warning Codes	Description	Notes
W1	Exceeds budget but is within tolerance.	Transaction exceeds available budget balance, but is within the tolerance allowed. .
W2	Exceeds budget, but is a track or non-initial transaction.	Transaction exceeds budget, but the control option for the control budget definition is Tracking with Budget, Tracking without Budget, or Control Initial Document. For tracking without budget, no warning is issued for detail tracking ledger groups. If it is not a detail tracking ledger group and a budget row exists, even if it is for a zero amount, a W2 warning is issued if the transaction exceeds the available spending. If no budget row exists, no warning is issued.
W3	Budget date and accounting (transaction) date are not equal. .	N/A
W4	Override of the error of Exceeds budget and is over tolerance.	Overrides always generate warnings.
W5	SA (spending authority) exceeds non-control budget amount.	Credit transaction caused spending authority (available budget balance) to exceed original budgeted amount for a budget whose control option is Tracking with Budget, or Tracking without Budget, or Control Initial Document. This warning does not occur if Allow Increased Spending Authority is selected for the control budget definition on the Ledgers for a Unit - Commitment Control Options page. See W2. .
W6	Override of the error of SA (spending authority) exceeds budgeted amount.	See W4.
W7	Override of the error of Budget is on hold.	See W4.
W8	Override of the error Date is out of bounds.	See W4.
W9	Closed budget periods exist in cumulative set.	One or more budget periods within a cumulative budgeting set has been closed. .
W10	Override of the error of Statistical budget is on hold.	N/A
W21	Exceeds statistical budget but is within tolerance.	See W1.
W22	Exceeds non-control statistical budget.	See W2, W21.
W24	Override of the error of exceeds statistical budget.	See W4.
W25	SA (spending authority) exceeds non-control statistical budget amount.	See W5, W21.
W26	Override of the error of SA (spending authority) exceeds statistical budget amount.	See W4.
W27	No liquidation on statistical amount due to different statistics code.	Warning is issued when a transaction (such as a voucher) and its referenced document (such as a purchase order) have different statistics code, so that the liquidation of the referenced document does not occur.
W33	Override of the error of Funding is expired.	Warning is issued if the E33 exception is overridden.
W34	Budget date outside dates specified on the Expiration ChartField page.	Warning is issued if the E34 exception is overridden.
W35	Associated expenditure budget is below zero.	Warning is issued if a reduction in revenue causes the remaining spending available for an associated expenditure budget inclusive of tolerances to fall below zero.
W36	Required key CF (ChartField) is blank.	Warning is issued if the control option is Tracking without Budget.
W37	Associated statistical expenditure budget is below zero.	Warning is issued if a reduction in revenue causes the remaining spending available for an associated statistical expenditure budget inclusive of tolerances to fall below zero.
W38	Funding is expired.	The budget date on the transaction line is beyond the expiration date specified on the Expiration CF (ChartField) page within the budget definition and the transaction line is attempting to increase (put money back into) the budget's remaining spending authority.
W57	Entry Event code is blank.	Warning is issued when Entry Event value is blank on the budget journal line and Entry Event is set to Optional on Installation Options - Entry Event page.
W61	Override of error for Funding Source does not have enough funding.	N/A
W62	Exceeds available funding.	Warning is issued when the Funding Source does not have enough funding to cover the expense on the control ChartField and the control option is Tracking with Budget, Tracking without Budget, or Control Initial Document on non-initial document.
W63	The amount of a credit transaction is over the total funding source spending.	N/A
W64	Parent does not exist.	Warning is issued when the Child Budgets Exceed Option is checked on Budget Definitions - Control Budget Options page.

Reviewing Budget Check Exceptions

Reviewing Budget Check Exceptions for VouchersReviewing Budget Check Exceptions for Vouchers

Steps

Reviewing Budget Check Exceptions for Payroll JournalsReviewing Budget Check Exceptions for Payroll Journals

Reviewing Budget Check Exceptions for POs Reviewing Budget Check Exceptions for POs

Steps

Reviewing Budget Check Exceptions for GL Ledger JournalsReviewing Budget Check Exceptions for GL Ledger Journals

Steps

Reviewing Budget Check Exceptions for AR Direct JournalsReviewing Budget Check Exceptions for AR Direct Journals

Steps