USAS User’s Manual –
Chapter 10 – Document Tracking
Overview of Document Tracking
About this Chapter
Document Tracking identifies a document's status and provides the ability to approve documents before payment generation/cancellation or posting to the History File occurs.
Document Tracking provides an approval mechanism for documents based on the document type.
Processing Types
Processing may be handled online or in batch. System-generated action codes are processed in batch.
Online Processing
Online Processing (Edit Mode 2):
- Maintains profiles used in document tracking.
- Enters and maintains financial transactions.
- Enters document actions directly through:
- 35 Batch Tracking and Electronic Approval/Release
- 38 Multiple Document Tracking
- 39 Approvals by Documents
- Automatically tracks additions, changes, and deletions of transactions related to a document. These are system-generated actions.
- Tracks transactions containing error-correction action codes. These are also system-generated actions.
- Validates the uniqueness of the Document ID (Document Agency, Document Number, Fiscal Year) in IEU
- Document Agency-agency responsible for processing the document; this may be different from the financial agency and batch agency.
- Document Number-uniquely identifies a document within a document agency and a fiscal year.
- Fiscal Year-accounting year. For example, if the effective date is 10/01/95, the fiscal year is 96.
Note: This is not always the same as the accounting year. The effective date determines the fiscal year.
Batch Processing
Batch Processing (Edit Mode 0 and Edit Mode 1):
- Provides an avenue for placing documents on hold where pre-approval is required (for example, tape-furnished vouchers).
- Attaches action codes to transactions in error.
- Validates the uniqueness of the document ID.
- Allows for entry of documents in electronic form through file transfer, tapes, etc., from another system (always Edit Mode 0).
- Allows for verification that the batch is in balance. The batch cannot process in USAS if it is out of balance.
Payment Processing
USAS payment generation/cancellation processes update the Document Tracking subsystem to reflect full or partial payments by document.
Approval Processing
USAS provides the ability to record various actions associated with a document. These actions may result in the final approval of a document or passage to the next stage in the document approval process. These actions may result in the final approval of a document or passage to the next stage in the document approval process.
Approval Processing provides the following:
- Multiple levels of central approval for each document type.
- Valid approval actions for each document type.
- Physical location of a document.
- Record of the user ID of the approver.
- Valid actions for each user class.
Elements Related to Document Tracking
The following are elements that are used by the Document Tracking Subsystem:
- Document Type
- Document Number
- Fiscal Year
- Action Code
- Archive Reference Number
- Document Agency
Document Type
The document type is defined in the 33 Document Control Profile. It is used to group like transactions, for example:
Document Type Description 1 Travel Vouchers 2, 3, 9 Purchase Vouchers E Encumbrance Documents
The document type is identified by the first element-letter or number-of the current document number.
For each document type, various processing rules are established on the 33 Document Control Profile:
- Determines if the document type is tracked.
- Establishes the required approval actions necessary for document approval.
- Determines if document balancing is required.
- Determines if the document type is post-in-full.
Document Number
The document number consists of eight alphanumeric characters. The first character represents the document type. The document number is assigned by an agency to make each document unique. The document number is similar to an agency voucher number in FACTS. The document numbers within an agency cannot be duplicated within the same fiscal year. The document number is also used to locate and inquire on the status of documents in USAS on the 37 Document Tracking Inquiry screen.
Note: Document type ‘D’ (deposits) must be all numeric for the seven digits following the document type.
Action Code
The action code is a three-digit number used by central agencies to designate the status of a document and to approve USAS documents for further processing (warrants, posting to financial tables, etc.). It must be defined in the D44 Action Code Profile. The following is an example of an action code and what it means: 000-Received in Fiscal Management Division First Time. The action code is similar to the FACTS status code.
Some action codes are system-generated as a result of the following actions:
- Entering a batch into USAS
- Changes, deletions, additions
- Error-correction transactions
- Payment processing
- Electronic Approvals/Release for Processing
Archive Reference Number
The archive reference number is a sequential number assigned by the Comptroller’s office to each paper document submitted by an agency. It replaces the comptroller voucher number in FACTS.
The archive reference number locates documents in the State Library and records them into USAS on the 38 Multiple Document Tracking screen.
Note: The archive reference number is used to locate documents in the State Library. The current document number is used to locate and track documents in USAS. These two elements replace the FACTS comptroller voucher number.
Document Agency
The document agency identifies the agency responsible for the document. This number is entered during the transaction entry.
A picture of the USAS Budgetary Transaction Entry screen
TEXAS S503 UNIFORM STATEWIDE ACCOUNTING SYSTEM 09/06/95 08:20 AM
LINK TO: BUDGETARY TRANSACTION ENTRY
BATCH: AGENCY 850 DATE 020692 TYPE 1 NO 111 SEQ NO 00001 MODE EDIT AND POST
DOC DATE: EFF DATE: 090795
CUR DOC/SFX: REF DOC/SFX: AGENCY: 100
TRANS CODE:
INDEX:
PCA: AY: 92
COMP/AGY OBJ:
AMOUNT: 00000000000.00 RVS: FUND OVRD:
DOC COUNT: 00000 DOC AMT: 00000000000.00 DOC AGY: 800
DESCRIPTION:
APPN NO: FUND: GL ACCT/AGY:
GRANT NO/PH: SUB GRANTEE: PROJ NO/PH:
MPCD: AGY CD-1: 2: 3: RTI:
F1-HELP F3-END F4-INT F5-EDIT F6-PROCESS F9-BALANCING F10-RTI
Highlighted Elements
Highlighted elements include:
- Batch Agency-identifies the agency that creates the batch. Batch Agency is an element in the Batch ID. Batches are sorted by the batch agency on the View Batch Header screen. In the above example, the batch agency is Agency 850.
- Agency-identifies the financial agency whose accounting records will be affected by the transaction. In the above example, the financial agency is Agency 100.
- Document Agency-identifies the agency responsible for processing the document. Document Agency is an element in the Document ID. In the above example, the document agency is Agency 800.