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Reporting Requirements for Annual Financial Reports of State Agencies and Universities

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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 of 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’s Treasury [+]

For pass-throughs within the state’s 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 NO combinations 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 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.

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’s 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’s Treasury [+]

Two reports are generated for ITV processing exceptions for pass-throughs to funds held outside the state’s 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 11/12/20 4 900    T1000123 001    111    111222    111202    RTI PROFILE INVALID                                                
123 11/12/20 4 900    T1000123 001    111    111222    111203    RTI PROFILE INVALID                                                
123 11/12/20 4 900    T2000224 001    111    222333    221301    RTI PROFILE INVALID                                                
123 11/12/20 4 900    T3000333 001    111    333444              RTI PROFILE INVALID       

DAFR3761

For pass-throughs to funds held outside the state’s 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‚Äôs 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 11/12/20 4 900    T1000123 001    111    111222    111202    RTI PROFILE INVALID                                                
123 11/12/20 4 900    T1000123 001    111    111222    111203    RTI PROFILE INVALID                                                
123 11/12/20 4 900    T2000224 001    111    222333    221301    RTI PROFILE INVALID                                                
123 11/12/20 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.