USAS Deposit Default Processing

Overview

Applicable to

State agencies and institutions of higher education.

Summary

The deposit default process is used when deposit documents contain errors. Only certain deposit document types are affected:

• D — Deposits entered in USAS that require the Comptroller’s Treasury Operations Division (Treasury) approval
• F — Deposits entered in USAS that do not require Treasury approval. (The Comptroller’s Treasury Operations and Revenue Accounting divisions create F documents.)

When these document types fail to post in USAS, USAS creates a document to post the cash to the associated agency’s default coding block. This system-generated document is in one of the following formats:

• For failed D document types: YDMMDDYY
• For failed F document types: YFMMDDYY

YD Documents

In the following situations, USAS generates a YD document that uses the agency’s default coding block and the dollar amount of the deposit received by Treasury:

• A USAS deposit (D document) fails to match the Treasury file for any of the following:
  • Agency
  • Fiscal year
  • Document number
  • Document amount
• After receiving Treasury approval (Action Code 825), a D document transaction receives a fatal data element or funding error during the USAS input, edit and update (IEU) cycle.
• A batch is in hold status and/or out of balance. If any batch document is out of balance, the entire batch is on hold and out of balance.
• The D document is included on the Treasury file but does not have a matching D document in USAS.

• The agency splits the deposit for a single check into multiple D documents (known as a “split deposit”).

  Treasury’s check processing system combines all the deposit slips for a split deposit into a single deposit and uses one of the D documents for the deposit. This results in the deposit amount on the Treasury file not matching the D document amount entered in USAS by the agency. Therefore, the deposit will fail the USAS/Treasury match process and USAS will generate a YD document for the entire deposit.

For the Treasury/USAS matching process, the percentage and amount tolerances on D documents are eliminated. Any discrepancy between the Treasury and USAS document amounts generate a YD document transaction for the total amount received by Treasury. The related D document number from the Treasury file populates in the REF DOC/SFX field on the YD document transaction.

For the USAS IEU cycle, any D document transaction(s) with fatal IEU errors generate a YD document, combining the amounts from the erred transactions into a single transaction/suffix. An exception to this is failed transactions on the original D document that have a reversing T-code. These transactions are included as a separate transaction/suffix on the YD document. Transactions from the original D document that do not have fatal IEU errors are not included in the YD document and process as originally entered.

Example:

Agency 852 had the following deposit transactions on 08/23/16:

• D7181001 has two $20 transactions and two reversing $15 transactions (“R” T-code) that failed with fatal errors.
• D7181002 has a $10 transaction that failed with fatal errors and a $30 transaction without fatal errors.
• D7181003 has a $25 reversing transaction that failed with fatal errors.

The following YD document was generated during the cycle:

Doc No/ Sfx	TC	Rvs	PCA	APPN	COBJ	Amount	Ref Doc
YD082316 101	184		99900	00000	3788	40.00	D7181001
YD082316 102	184	R	99900	00000	3788	30.00	D7181001
YD082316 103	184		99900	00000	3788	10.00	D7181002*
YD082316 104	184	R	99900	00000	3788	25.00	D7181003
*The $30 transaction from D7181002 processed successfully as originally entered.

USAS issues action code 835 – Default Deposit Generated for D documents that fail Treasury match or have transactions that receive fatal errors during the USAS IEU cycle. Error code JDC – System Generated Default Deposit Document is issued for each transaction and the related system-generated YD document number populates in the INVOICE DESCRIPTION field.

Note: Only D documents that receive fatal errors during the USAS IEU cycle appear on the agency’s error report (DAFR2151). D documents that fail Treasury match do not appear on the DAFR2151.

The D document(s) that failed Treasury match, and the D document transaction(s) that received fatal errors during the USAS IEU cycle, remain on the USAS Internal Transaction (IT) file and must be deleted by the agency. The agency must also clear the YD document amount out of the default fund using the procedures outlined in Clearing the Deposit Default Fund.

The DAFR018B [USAS Deposit Corrections this Cycle (D DOCS)] report can be used to view the D documents that failed Treasury match or contained errors, and the related generated YD documents.

Note: Clearing the default fund 9000 should only be done using a journal voucher (J document type).

Suffixes for YD documents

There is only one YD document generated per day for each agency.

Suffix number ranges

• YD document transactions generated when the D document fails the Treasury/USAS matching process have suffixes 001–100.
• YD document transactions generated during the USAS IEU cycle have suffixes 101–999.

This numbering system helps agencies determine why the original deposit document did not receive Treasury approval.

YF Documents

A YF document generates whenever transactions on the pre-approved deposit (F doc) receive a fatal error during the USAS IEU cycle. F documents can only fail during the USAS IEU cycle due to data element or funding errors. There is only one YF document generated per day for each agency. The YF documents have suffixes 101–999.

The YF document transaction combines all failed F documents for an agency, with a separate YF transaction for each failed F document. An exception to this is failed transactions on the original F document that have a reversing T-code. These transactions are combined in a separate transaction/suffix on the YF document. The REF DOC/SFX field on the YF document transaction contains the associated F document number.

USAS issues action code 835 – Default Deposit Generated for F documents with transactions that receive fatal errors during the USAS IEU cycle. Error Code JDC – System Generated Default Deposit Document is issued for each failed transaction and the related system-generated YF document number populates in the INVOICE DESCRIPTION field.

Note: The failed F documents only appear on the originating agency’s DAFR2151 error report (agency 311 or 902).

The system-generated YF document uses the agency’s default coding block for the dollar amount of the funds received by Treasury. The failed F document transactions will not post in USAS and will be automatically deleted and not remain on the USAS Internal Transaction (IT) file. The agency needs to clear the YF document amount out of the default fund using the procedures outlined in Clearing the Deposit Default Fund.

The DAFR018F [Deposit Corrections this Cycle (F DOCS)] can be used to view the failed F documents and the related generated YF documents.

Note: Only use a journal voucher (J document type) to clear the default fund 9000.

Deposit Default Coding Block Elements

Agencies must have the following deposit coding block elements established in USAS:

• An active D23 Fund Profile for default fund 9000 for the current fiscal year.
• An active 26 Program Cost Account (PCA) Profile for 99900 set up to infer fund 9000, appropriation 00000 and the current appropriation year (AY).

USAS uses this default deposit coding block for failed D and F deposit documents. Without this coding block, the deposit correction errors off and is not able to post to the agency.

If the agency requires an agency object code, Agency Object 3000 must be established and active on the D11 Agency Object Profile.

Note: Agency staff only has inquiry access on the 26 Program Cost Account (PCA) Profile for PCAs 99900 to 99999. These PCAs are centrally controlled. If you attempt to modify a PCA in this range, you will receive the error code D7A – Centrally Controlled PCA. If you need modification of a PCA in this range, contact your agency’s appropriation control officer (ACO).

USAS/Treasury Deposit Approval for D Document Types

Steps in USAS/Treasury Deposit Approval for D Document Types

Step	If…	And…	Then…
1 a.	The following items on the USAS deposit voucher and deposit slip/deposit received by Treasury do not match: Document number Agency number Fiscal year	N/A	USAS generates a YD document with a suffix of 001-100 that posts the entire amount Treasury received to the Agency Default Coding Block, with T-code 184. The agency’s D document does not receive Treasury final approval. The D document receives action code 835 (Default Deposit Posted) and must be deleted from the IT file.
1 b.	The following items on the USAS deposit voucher and deposit slip/deposit received by Treasury match: Document number Agency number Fiscal year	The amount received by Treasury is not equal to the amount of the D document the agency entered into USAS.	USAS generates a YD document with a suffix of 001-100 that posts the entire amount Treasury received to the Agency Default Coding Block, with T-code 184. The agency’s D document does not receive Treasury final approval. The D document receives action code 835 (Default Deposit Posted) and must be deleted from the IT file.
2	The agency delivers a deposit to Treasury, who then approves the deposit and submits the D document on the Treasury file.	The agency fails to enter or submit the corresponding D document to USAS that same day.	USAS generates a YD document with a suffix of 001-100 that posts the entire amount Treasury received to the Agency Default Coding Block, with T-code 184. USAS creates the D document using a batch type of D (Deposit Corrections). The D document posts to the Document Tracking Inquiry (37) screen with action code 835 (Default Deposit Posted), but is not written to the agency’s Internal Transaction (IT) file or to history.
3	The following match: Document number Agency number Fiscal year Amount	There is a fatal error in the USAS IEU cycle for at least one of the transactions within the corresponding D document.	USAS generates a YD document with a suffix of 101-999 that posts the combined amount for the failed D document transaction(s) to the Agency Default Coding Block, with T-code 184. The agency’s failed D document transaction(s) with the original agency coding block appears on the error report (DAFR2151) with the fatal USAS IEU error and error code JDC – System Generated Default Deposit Document. The failed D document receives action code 835 (Default Deposit Posted). The failed transactions must be deleted from the IT file. The D document transactions without fatal IEU errors process as originally entered.

Note: This procedure allows for a zero tolerance between deposit voucher and Treasury amount.

USAS/Treasury Procedures for F Document Types

USAS Input Edit Update (IEU) Data Element Errors for F Document Types

If...

Then...

There is a fatal error with the F Doc in USAS during the IEU cycle.

USAS generates a YF document for the entire amount of the failed F doc transactions. The YF document posts to the applicable financial agency’s default coding block with T-code 184 for the appropriate monetary amount. The failed F doc transactions automatically delete from the IT file. The failed transactions appear on the originating agency’s (agency 311 or 902) DAFR2151 error report with error code JDC – System Generated Default Deposit Document (along with any other applicable fatal errors). Each financial agency with failed F doc transactions receives the DAFR018F report. This report provides the failed F doc transaction’s original coding block, the YF doc number and the associated fatal error(s).

Clearing the Deposit Default Fund

To clear amounts out of the deposit default fund for both YD and YF documents, enter a journal voucher (J document) to reverse the posting to the deposit default fund and post the amount to the same coding block as the original D or F deposit document. Use the following coding elements to clear the deposit default fund:

1. PCA 99900
2. Appropriation number 00000
3. Default fund 9000
4. Comptroller object 3788
5. T-code 195 or 195R, depending on whether a reversing T-code was used on the original D document
6. Include Legal Descriptive Text (LDT) on the journal voucher

DAFR Reports on Deposits

DAFR018A [DEPOSIT DOCUMENTS NEEDING TREASURY APPROVAL REPORT]

The DAFR018A report includes:

• The YD document number.
• A column indicating the number of days a deposit document has been on the IT file waiting for approval. This assists agencies in identifying deposit documents that may need to be deleted due to YD documents already posting the deposit to the default coding block.
• A Treasury Amount column containing the actual amount received by Treasury and the same amount as on the YD document.

Sample DAFR018A

 
DAFR018A 123 USAS 01              AGENCY NAME                                 *******************AGCY NUMBER     123
                 USAS    DEPOSIT DOCUMENTS NEEDING TREASURY APPROVAL REPORT                     AGCY PAGE          1
MM/DD/YY (20.47) CYCLE 2255  *******************************************************************RUN PAGE           2

------------BATCH---------  DOC                          USAS                      DAYS    GEN             TREASURY
AGY    DATE      TYPE  NUM  AGY    DOC NO    FY        DOC AMT      CREATE DATE  UNAPPRVD DOC NO            DOC AMT
--------------------------------------------------------------------------------------------------------------------
123   MM/DD/YYYY  2    001  123   D1002305   03  11,111,111,180.54   MM/DD/YYYY    62    YD101202  11,123,456,789.01
123   MM/DD/YYYY  2    001  123   D1085587   03             120.00   MM/DD/YYYY    62    YD101202             120.25
123   MM/DD/YYYY  2    001  123   D1085588   03           7,082.00   MM/DD/YYYY    34    YD110902           7,000.00
123   MM/DD/YYYY  2    010  123   D1085589   03             281.13   MM/DD/YYYY    24                               
123   MM/DD/YYYY  2    020  123   D1085590   03              18.80   MM/DD/YYYY    24                               
123   MM/DD/YYYY  2    001  123   D1085591   03           1,508.77   MM/DD/YYYY    19    YD112502           1,510.00
123   MM/DD/YYYY  2    001  123   D1085592   03           2,243.08   MM/DD/YYYY    12    YD120202           2,244.08
123   MM/DD/YYYY  2    001  123   D1085593   03           1,905.00   MM/DD/YYYY     2    YD121202           1,905.01
123   MM/DD/YYYY  2    002  123   D1085594   03           1,125.26   MM/DD/YYYY     2                               
123   MM/DD/YYYY  2    001  123   D1085595   03           1,320.00   MM/DD/YYYY     2                               
123   MM/DD/YYYY  2    003  123   D1085596   03           1,660.04   MM/DD/YYYY     2                               
123   MM/DD/YYYY  2    001  123   D1085597   03             775.46   MM/DD/YYYY     2    YD121202             700.00




IF A SYSTEM GENERATED DOCUMENT HAS BEEN CREATED FOR A DEPOSIT, THE USER WILL NEED TO DELETE 
THE ORIGINAL DEPOSIT DOCUMENT IN ORDER TO REMOVE IT FROM THIS REPORT AND THE USAS 
VIEW BATCH HEADER SCREEN (IT).
                                          

DAFR018B [DEPOSIT CORRECTIONS THIS CYCLE (D DOCS)]

The DAFR018B report displays:

• The deposit transactions from the most recent IEU cycle that contained errors found during the Treasury/USAS matching process
• The related generated YD documents

The original D documents must be deleted from the agency’s IT file.

Sample DAFR018B

 
DAFR018B 123 USAS 01                            AGENCY NAME                                    *************AGCY NUMBER  123
                                  USAS    DEPOSIT CORRECTIONS THIS CYCLE (D DOCS)     REPORT                 AGCY PAGE     1
MM/DD/0YY (20.36) CYCLE 2823  ********************************************************************************RUN PAGE     1

DOC                 AGY  APPD APPN      TREASURY       USAS               COMP                                             
AGY DOC NO   TC  FY FUND FUND NUM        DOC AMT    DOC AMT   TRANS AMT  R OBJ  PCA   GEN DOC NO   MESSAGE
----------------------------------------------------------------------------------------------------------------------------
123 D1233077 184 03 9000 0001 00000         5.81       0.00        5.81   3788 99900 YD031303 001 DEPOSIT NOT ENTERED
123 D1233078 184 03 9000 0001 00000        80.00      86.50       80.00   3788 99900 YD031303 002 DEPOSIT SHORT
123 D1233079 184 03 9000 0001 00000       134.53     134.53      134.53   3788 99900 YD031303 003 BATCH NOT RELEASED
123 D1233080 184 03 9000 0001 00000       347.12     347.12      347.12   3788 99900 YD031303 103 ORIGINAL TRANSACTION REJE
123 D1233081 184 03 9000 0001 00000        72.00      27.00       72.00   3788 99900 YD031303 003 DEPOSIT OVER

DAFR018F [DEPOSIT CORRECTIONS THIS CYCLE (F DOCS)]

F documents are centrally entered by either Treasury (311) or CPA (902). Agencies are not able to correct the F documents shown on the DAFR018F. Each agency has the responsibility of entering the journal voucher (J document type) to move its funds from the default coding block to the correct financial coding block.

The DAFR018F is designed to assist users in clearing the default deposit from the agency’s default fund. Only the F documents for which a default deposit (YF document) has been generated appear on this report. The report also includes the original coding block for that F document and the associated YF document number. The failed F doc transactions automatically delete from the IT file.

Sample DAFR018F — First Page

DAFR018F 123 USAS 01                                  AGENCY NAME                         *****************AGCY NUMBER   123
                 USAS                 DEPOSIT CORRECTIONS THIS CYCLE (F DOCS)                               AGCY PAGE      1
MM/DD/YY (xx.xx) CYCLE xxxx  ********************************************************************************RUN PAGE      1

                       AGY                    COMP AGY                                                                              
AGY  DOC NO  TC  FY AY FUND APPN  PCA  INDEX  OBJ  OBJ     VENDOR NO/MC    TRANS AMT  R  GEN DOC NO  ERRORS
----------------------------------------------------------------------------------------------------------------------------
123 F8007454 188 03 03 0800 99906 99906 00099 3171                            600.00     YF020303    JDC E51 E52 XXX XXX XXX
123 F8007454 188 03 03 0800 99906 99906 00100 3175                            625.00     YF020303    JDC E51 E52 XXX XXX XXX
123 F8007454 195 03 03 0001 13006 00005 00101 3570                             15.00     YF020303    JDC                    
123 F8007454 195 03 03 0001 27993 27993 00102 3175                             25.00     YF020303    JDC ECH E65
123 F1233079 179 03 03 0001 97768 97768       3879 3879  17425954892 000      134.53     YF020303    JDC EDC EDK


AGENCIES WILL NOT BE ABLE TO CORRECT THE F DOCUMENT TYPES SHOWN ABOVE. THE INFORMATION ON 
THIS REPORT IS PROVIDED TO ASSIST AGENCIES IN CREATING THE JOURNAL ENTRY TO MOVE THE FUNDS 
FROM THE DEFAULT DEPOSIT CODING BLOCK TO THE ORIGINAL F DOCUMENT CODING BLOCK.
  

Sample DAFR018F — Last Page

DAFR018F 123 USAS 01                            AGENCY NAME                               *****************AGCY NUMBER   123
                 USAS                        AGENCY ERROR DESCRIPTIONS                                      AGCY PAGE      2
MM/DD/YY (20.36) CYCLE 2823  ********************************************************************************RUN PAGE      4

        ERROR CODE DESCRIPTION                ERROR CODE DESCRIPTION                ERROR CODE DESCRIPTION
            ECH    D23 STATUS NOT “A”             EDC    28B EXCLUDES COBJ              EDK    20 OBJ NOT INCLUDED   
            E51    APPN REQUIRED                  E52    APP # NOT IN 20                E65    PCA NOT IN 26
            JDC    DEPOSIT DFAULT POSTD