Reporting Requirements for Annual Financial Reports of State Agencies and Universities
Interfund Activity
ITV Monitoring
Review ITV Processing Exceptions
An invalid RTI profile results when the RTI agency inactivates, deletes or alters the effective start or end dates on the profile. This can prevent USAS from creating the system-generated ITV transactions.
DAFRs are generated based on the type of ITV being processed, listing the ITV processing exceptions resulting from invalid RTI profiles. Review the DAFRs to ensure that an invalid RTI profile did not prevent USAS from creating the system-generated ITVs.
Sample scenarios:
-
The receiving agency profiled multiple transaction numbers under the same RTI number. All but one of the profiles is inactive.
The ITV process uses the active RTI profile to create the system-generated ITVs, with the other RTI/transaction numbers listed on the processing exception DAFRs.
-
The receiving agency profiled multiple transaction numbers under the same RTI number. All the profiles are inactive.
The ITV process is unable to create the system-generated ITVs and all the RTI/transaction numbers are listed on the processing exception DAFRs. Both the disbursing and receiving agencies need to take corrective action to complete the ITV process.
-
The receiving agency profiled a single transaction number for an RTI number, but the effective end date is prior to the effective date of the disbursing agency’s originating transaction.
The ITV process is unable to create the system-generated ITVs and the RTI is listed on the processing exception DAFRs. Both the disbursing and receiving agencies need to take corrective action to complete the ITV process.
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Pass-throughs within State Treasury [+]
For pass-throughs within the state treasury, DAFR3761 — Recurring Transaction Error Report for ITVs lists the ITV processing exceptions with one of the following error messages:
- No Active Trans For RTI Found — No Transactions Generated indicates that none of the associated RTI profiles for the listed
RTI NO/TRANS NOcombinations are valid. The system-generated ITVs were not created. - RTI Trans Not Active Or Date Not In Range — RTI Transaction Generated indicates that the RTI profile for the listed
RTI NO/TRANS NOcombination is not valid. However, there was at least one valid RTI profile for the RTI number from which the system-generated ITVs were created.
DAFR3761
DAFR3761 123 USAS 01 DISBURSING AGENCY *****************AGCY NUMBER 123
RECURRING TRANSACTION ERROR REPORT FOR ITVS AGCY PAGE 1
MM/DD/YY (HH.SS) CYCLE 7338 ************************************************************************************RUN PAGE 1
AGENCY 123 AGENCY NAME
************************************************************************************************************************************
DOCNO SFX RTI RTI TRANS ERROR MESSAGE
AGY NO NO
************************************************************************************************************************************
T1333000 001 111 555987 000001 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
T1333000 001 111 555987 000002 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
T2859789 001 111 333444 NO ACTIVE TRANS FOR RTI FOUND -- NO TRANSACTIONS GENERATED
T3565565 001 111 855855 000011 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
There are two scenarios to consider when reviewing DAFR3761 for pass-throughs within the state treasury:
-
The error message No Active Trans For RTI Found — No Transactions Generated indicates that the initiating transaction was able to process and write to history, but the system-generated ITVs could not be created. The receiving agency must correct the RTI profile so the system-generated ITVs can be created and processed.
USAS attempts to create the ITVs during each nightly cycle, so once the RTI profile is valid, USAS can create the system-generated ITVs.
If you need further assistance, contact your appropriation control officer (ACO).
-
The error message RTI Trans Not Active Or Date Not In Range—RTI Transaction Generated indicates that the system-generated ITVs were successfully created.
See Verify Creation of System-Generated ITVs for the next step.
Pass-throughs to Funds Held Outside State Treasury [+]
Two reports are generated for ITV processing exceptions for pass-throughs to funds held outside the state treasury:
- DAFR360B — Recurring Transaction Error Report
- DAFR3761 — Recurring Transaction Error Report for ITVs
DAFR360B
The error message RTI Profile Invalid indicates that the RTI profile for the listed RTI NO/TRANS NO combination was invalid.
DAFR360B 123 USAS 01 DISBURSING AGENCY *****************AGCY NUMBER 123 RECURRING TRANSACTION ERROR REPORT AGCY PAGE 1 MM/DD/YY (HH.SS) CYCLE 7338 ************************************************************************************RUN PAGE 1 AGENCY 123 AGENCY NAME ************************************************************************************************************************************ ---- BATCH ID ---- DOCNO SFX RTI RTI TRANS ERROR MESSAGE AGY NO NO ************************************************************************************************************************************ 123 11/12/23 4 900 T1000123 001 111 111222 111202 RTI PROFILE INVALID 123 11/12/23 4 900 T1000123 001 111 111222 111203 RTI PROFILE INVALID 123 11/12/23 4 900 T2000224 001 111 222333 221301 RTI PROFILE INVALID 123 11/12/23 4 900 T3000333 001 111 333444 RTI PROFILE INVALID
DAFR3761
For pass-throughs to funds held outside the state treasury, the error message RTI Trans Not Active Or Date Not In Range — RTI Transaction Generated indicates that the RTI profile for the listed RTI NO/TRANS NO combination is not valid. However, there was at least one valid RTI profile for the RTI number from which the system-generated ITVs were created.
Sample DAFR3761
DAFR3761 123 USAS 01 DISBURSING AGENCY *****************AGCY NUMBER 123
RECURRING TRANSACTION ERROR REPORT FOR ITVS AGCY PAGE 1
MM/DD/YY (HH.SS) CYCLE 7338 ************************************************************************************RUN PAGE 1
AGENCY 123 AGENCY NAME
************************************************************************************************************************************
DOCNO SFX RTI RTI TRANS ERROR MESSAGE
AGY NO NO
************************************************************************************************************************************
T1333000 001 111 555987 000001 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
T1333000 001 111 555987 000002 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
T3565565 001 111 855855 000011 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
Review both DAFR360B and DAFR3761 together to verify whether the system-generated ITVs were created. If you find:
-
An exception listed on DAFR360B but not on DAFR3761, the system-generated ITVs were not created.
The original ITV transaction is located on the initiating agency’s IT file in P-Y-4 status with error message FPJ RTI Profile Invalid. The receiving agency must correct the RTI profile so the system-generated ITVs can be created.
USAS attempts to create the ITVs during each nightly cycle, so once the RTI profile is valid, USAS can create the system-generated ITVs and the original ITV transaction can be processed off the initiating agency’s IT file.
Contact your ACO for assistance with this process.
-
An exception listed on both DAFR360B and DAFR3761, the system-generated ITVs were successfully created.
See Verify Creation of System-Generated ITVs for the next step.
Note: The error message No Active Trans For RTI Found — No Transactions Generated should not be listed on DAFR3761 for pass-throughs to funds held outside the state treasury. Contact your ACO immediately if this error is listed for this type of ITV.
Interagency Payments and Refunds [+]
Two DAFR reports are generated for ITV processing exceptions for interagency payments and refunds:
- DAFR360B — Recurring Transaction Error Report
- DAFR3751 — Recurring Transaction Error Report for ITVs
DAFR360B
The error message RTI Profile Invalid indicates that the RTI profile for the listed RTI NO/TRANS NO combination was invalid.
DAFR360B 123 USAS 01 DISBURSING AGENCY *****************AGCY NUMBER 123 RECURRING TRANSACTION ERROR REPORT AGCY PAGE 1 MM/DD/YY (HH.SS) CYCLE 7338 ************************************************************************************RUN PAGE 1 AGENCY 123 AGENCY NAME ************************************************************************************************************************************ ---- BATCH ID ---- DOCNO SFX RTI RTI TRANS ERROR MESSAGE AGY NO NO ************************************************************************************************************************************ 123 11/12/23 4 900 T1000123 001 111 111222 111202 RTI PROFILE INVALID 123 11/12/23 4 900 T1000123 001 111 111222 111203 RTI PROFILE INVALID 123 11/12/23 4 900 T2000224 001 111 222333 221301 RTI PROFILE INVALID 123 11/12/23 4 900 T3000333 001 111 333444 RTI PROFILE INVALID
DAFR3751
For interagency payments and refunds, the error message RTI Trans Not Active Or Date Not In Range — RTI Transaction Generated indicates that the RTI profile for the listed RTI NO/TRANS NO combination is not valid. However, there was at least one valid RTI profile for the RTI number from which the system-generated ITVs were created.
Sample DAFR3751
DAFR3751 123 USAS 01 DISBURSING AGENCY *****************AGCY NUMBER 123
RECURRING TRANSACTION ERROR REPORT FOR ITVS AGCY PAGE 1
MM/DD/YY (HH.SS) CYCLE 7338 ************************************************************************************RUN PAGE 1
AGENCY 123 AGENCY NAME
************************************************************************************************************************************
DOCNO SFX RTI RTI TRANS ERROR MESSAGE
AGY NO NO
************************************************************************************************************************************
T1000123 001 111 111222 111202 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
T1000123 001 111 111222 111203 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
T2000224 001 111 222333 221301 RTI TRANS NOT ACTIVE OR DATE NOT IN RANGE -- RTI TRANSACTION GENERATED
Review both DAFR360B and DAFR3751 together to verify whether the system-generated ITVs were created. If you find:
-
An exception listed on DAFR360B but not on DAFR3751, the system-generated ITVs were not created.
The original ITV transaction is located on the initiating agency’s IT file in P-Y-4 status with error message FPJ RTI Profile Invalid. The receiving agency must correct the RTI profile so the system-generated ITVs can be created.
USAS attempts to create the ITVs during each nightly cycle, so once the RTI profile is valid, USAS can create the system-generated ITVs and the original ITV transaction can be processed off the initiating agency’s IT file.
Contact your ACO for assistance with this process.
-
An exception listed on both DAFR360B and DAFR3751, the system-generated ITVs were successfully created.
See Verify Creation of System-Generated ITVs for next steps.
Note: The error message No Active Trans For RTI Found — No Transactions Generated should not be listed on DAFR3751 for interagency payments/refunds. Contact your ACO immediately if this error is listed for this type of ITV.