PeopleSoft Commitment Control 9.1 PeopleBook

Managing Budget Exceptions

This chapter provides an overview of exception handling in Oracle's PeopleSoft Commitment Control and discusses how to:

Set up and run exception notification.
View and handle budget transactions exceptions.

Understanding Exception Handling and Notification

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, overriding the budget checking process, or by simply viewing and noting them.

Note. Budget journal posting exceptions are discussed in the Entering and Posting Commitment Control Budget Journals chapter

See Entering and Posting Commitment Control Budget Journals.

You can choose to receive a pop-up warning when there are error or warning messages generated by the system during online budget checking of transactions. The pop-up warning is available for several PeopleSoft products including General Ledger, Payables, and Receivables. Enable the pop-up warning on the Installation options Commitment Control page.

See Enabling Pop-Up for Error and Warning Messages.

Errors and Warnings

Exceptions fall into two categories: errors and warnings.

Errors

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 your 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.

These are errors that you might encounter:

Error Code	Overridable?	Description	Notes
E1	Y	Exceeds budget and is over tolerance.	N/A
E2	N	No budget exists.	N/A
E3	N	Budget is closed.	N/A
E4	Y	Budget is on hold.	N/A
E5	N	Transaction has offset account.	The transaction line contains an account value that is reserved as an offset account.
E6	Y	Budget date is out of bounds.	N/A
E7	Y	Spending authority over budget.	Credit transaction caused spending authority (available budget balance) to exceed original budgeted amount. This error does not occur if you selected Allow Increased Spending Authority for the control budget definition on the Ledgers for a Unit - Commitment Control Options page. See Adding Commitment Control Ledger Groups to a Business Unit.
E8	N	CF (ChartField) funding source error.	A funding source allocation row for a funding source enabled budget exists without a corresponding budget amount having been entered in the Commitment Control ledger data table (LEDGER_KK). See Project Costing and Control Budgets with Funding Source.
E9	N	Cumulative calendar data not found.	Budget is defined for cumulative budgeting with a cumulative calendar, but the calendar is not found. See Budget Period Calendars and Cumulative Budgeting.
E10	N	Cumulative date range not found.	Budget is defined for cumulative budgeting with a cumulative date range, but the date range is not found.
E11	Y	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 E26, E30, E32, and E37 occur for the referenced (liquidation) row. See Budget Processor.
E12	N	No budget exists for referenced row.	See E11.
E13	N	Budget is closed for referenced row.	See E11.
E14	Y	Budget is on hold for referenced row.	See E11.
E15	N	Transaction has offset account for referenced row.	See E11.
E16	Y	Budget date is out of bounds for referenced row.	See E11.
E17	Y	Spending authority over budget for referenced row.	See E7, E11.
E18	N	CF (ChartField) funding source error for referenced row.	See E8, E11.
E19	N	Cumulative calendar data not found for referenced row.	See E9, E11.
E20	N	Cumulative date range not found for referenced row.	See E10, E11.
E21	Y	Exceeds statistical budget and is over tolerance.	Occurs for budgets with statistical budgeting enabled. See Statistical Budgeting.
E22	N	Statistical budget does not exist.	See E21.
E23	Y	Exceeds statistical budget and is over tolerance for referenced row.	See E21.
E24	N	Statistical budget does not exist for referenced row.	See E11, E21.
E25	Y	Spending authority over statistical budget for referenced row.	See E7, E11, E21.
E26	N	Ledger definition data not found for referenced row.	See E11.
E27	Y	Spending authority over statistical budget.	See E7, E21.
E28	N	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	N	Funding source allocation not found.	There are no funding source allocations for the funding source enabled budget related to the transaction. See Project Costing and Control Budgets with Funding Source.
E30	N	Funding source allocation not found for referenced row.	See E11, E29.
E31	N	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 you set up cumulative budgeting for the date range of 01/01/20X2 through 02/28/20X2 and include monthly budget periods 20X2M1 (covering January), 20X2M2 (covering February), and 20X2M3 (covering March). The budget period 20X2M3 does not fall within the cumulative date rage, and an error results when you budget-check a transaction whose budget date falls within budget period 20X2M3. See Budget Period Calendars and Cumulative Budgeting.
E32	N	Current budget period not in cumulative range for referenced row.	See E11, E31.
E33	Y	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	Y	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	N	Required key CF (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	N	ChartField combination errors exist.	The budget journal line violates the ChartField combination rules.
E37	Y	Statistical budget is on hold for referenced row.	See E11.
E38	Y	Statistical budget is on hold.	N/A
E40	N	Statistical budget is not enabled on the budget definition.	Apply to budget journal edit.
E42	N	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	N	Transaction has excluded account.	The budget journal line contains an account value that is excluded from commitment control.
E44	N	Budget period is invalid.	Apply to budget journal edit.
E45	N	Non key CF (ChartField) has a value.	Non key CF (ChartField) on the budget journal line should be blank.
E46	N	Invalid ChartField value.	The budget journal line contains invalid ChartField value.
E47	N	ChartField value not valid for budget.	The budget journal line contains invalid ChartField value for budget.
E48	N	CF (ChartField) value not at tree level.	The budget journal line contains a ChartField value not at the defined tree level.
E49	N	Key ChartField is blank.	Key ChartField on the budget journal line is blank.
E50	N	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	N	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	N	Invalid ledger value.	N/A
E57	N	Entry Event value 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	N	Entry Event should be blank.	Entry Event value is not blank on the budget journal line.
E59	N	Invalid Entry Event code.	The budget journal line contains an invalid Entry Event code.
E60	N	Funding Source allocations are not yet completed.	Funding Source allocation errors exist.
E61	Y	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	N	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	N	Funding Source value is required.	Applies to budget journal edit.
E64	N	Parent budget does not exist.	Applies to budget journal edit.
E65	N	Exceeds funding source allocation amount.	Applies to budget journal edit.
E66	N	Funding Source value should be blank.	Applies to budget journal edit.
E67	N	Budget Date is null.	Applies to budget journal edit.
E90	N	Invalid budget definition.	N/A
E91	N	Translation tree error found.	N/A
E92	N	SetID error found.	N/A
E96	N	Budget period not found.	N/A
E97	N	Budget definition not found.	N/A
E98	N	No fiscal year calendar found.	N/A
E99	N	Invalid parent/child reference.	Applies to budget journal edit.

Warnings

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.

The Budget Processor issues warnings, rather than errors, 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 you selected one of these options when you defined your budgets, you determined that transactions that would otherwise generate an error exception merely require an audit trail and examination and do not need to be stopped.

If the control option is Track with Budget, you receive warning exceptions, except when there is no budget for a transaction, which results in an error exception. If the control option is Control Initial Document, you receive error exceptions for the initial document and warning exceptions for subsequent transactions.

Note. Whether the option is Track without Budget or Track with Budget, you receive warnings for any error that can be overridden; however, errors that cannot be overridden might be logged.

Also note that commitment control detail ledger groups, which by definition are set to track without budget, do not receive budget exceeds warnings.

These are the warnings:

Warning Code	Description	Notes
W1	Exceeds budget but is within tolerance.	Transaction exceeds available budget balance, but is within the tolerance allowed. See Hierarchy of Control Budget Attributes.
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. See Hierarchy of Control Budget Attributes.
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 you selected Allow Increased Spending Authority for the control budget definition on the Ledgers for a Unit - Commitment Control Options page. See W2. See Adding Commitment Control Ledger Groups to a Business Unit.
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 of Budget 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. See Budget Period Calendars and Cumulative Budgeting.
W10	Override of the error of Statistical budget is on hold.	N/A
W21	Exceeds statistical budget but is within tolerance.	See W1. See Statistical Budgeting.
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 you override the E33 exception
W34	Budget date outside dates specified on the Expiration CF (ChartField) page.	Warning is issued if you override the E34 exception.
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.

Note. Early warnings, or notifications that a predefined percentage of a budget has been committed for spending or spent, are not exceptions. You set them up on the Notify Preferences page.

See Also

Error Exception Handling

Exception Notification

It is recommended that you set up security using the notification process, so that only users with Notify security access receive exception notifications, and only for the budgets to which they have access. However, this is not required. You can use notification without implementing related commitment control security.

You can be notified of exceptions by the commitment control workflow process, by email, or through the work list. You can also view exceptions online using the Exception Inquiry pages without using the Commitment Control Notification feature.

Online Exception Notification

In an online situation, you receive a message regarding status of a transaction when the budget-checking process finishes. The message indicates what type of exception the transaction created and enables you to transfer directly to the appropriate transaction exception header page, where you can either view the warnings generated or view and override the errors.

Note. An override is applicable only to the original entry. After the override, any change or additions to the original journal lines causes the system to cancel the override and reset the header status to (N) not checked. This is to prevent the adding of lines using the same overridden ChartField combination to create unauthorized overrides for different or larger amounts.

Workflow Exception Notification

In a batch budget-checking situation, users are notified of exceptions through workflow. You grant access to exception notification workflow to the appropriate individuals when you set up Commitment Control security. The system generates a worklist containing budget exceptions for each user responsible for budgetary oversight. The budgets, source transactions, and exception types included in the worklist depend on the security you have set up for the individual and the notification preferences for the individual. You can also have the system provide email notification.

From the worklist entry or the email, you can select a budget with exceptions and transfer to the Budget Details page, where you can open the Budget Exceptions page to see a list of all transactions that have failed for that budget. You can also link to the transaction exception page for each transaction to view a list of all budgets that have caused exceptions for that transaction. The Budget Exceptions and transaction exceptions pages enable you to inquire about exceptions and to perform overrides, if you have security access.

The Budget Exceptions page and transaction exception pages for each source transaction type are also available directly through the PeopleSoft menus.

Early Warning Notification

You can use workflow to provide early warning notifications when a predefined percentage of a budget has been spent.

Commitment Control Notify Process

After you have set up security and notification preferences for all appropriate users, you use the Commitment Control Notify Application Engine process (KK_NTFY_WF) to scan the exception table and notification preferences and route the notification to the email and worklists for the user.

Viewing and Handling Budget Transaction Exceptions

Working with Worklists and Emails

Setting Up Commitment Control Security

Error Exception Handling

Once you are notified that a transaction has a budget checking error, you have four options for correcting it:

Change the transaction.

Some of the ways you can change the transaction include:
- Changing the transaction amount.
- Changing the ChartField combinations.
- Canceling and rerunning the transaction at a later date.
- Overriding the budget date.
Change the budget.

Some of the ways you can change the budget include:
- Adjusting the budget amounts to allow the transactions to pass budget checking.
- Increasing the budget tolerance.
- Reopening a closed budget.
- Modify the control budget definition.
Override a budget for the transaction, assuming the exception can be overridden.
Override the entire transaction for all affected budgets assuming that all of the lines have overridable exceptions logged against them.

In each case, you must have appropriate security clearance to perform the change or override. And you must rerun budget-checking.

See Errors and Warnings.

Security for Adjusting Budgets and Budget Overrides

The security profile of each of your users determines which budgets they can adjust and which budgets, budget dates, and transactions they have the authority to override. You set up this authority when you set up Commitment Control security.

If commitment control security does not allow overrides for a particular user, the Allow Override option at the source transaction type level is irrelevant. Commitment control security supersedes the override option at the source transaction type level.

A user ID and date/time stamp appear on the inquiry pages when a budget or transaction has been overridden, and a warning is generated when the transaction is budget-checked again.

Budget Overrides and Transaction Overrides

The transaction exceptions pages contain check boxes for Budget Override and for Transaction Override.

Budget Override overrides exceptions for a specific budget for which the transaction failed budget checking.

When a transaction references a budget marked for override for that transaction, every line on that transaction that would have failed the overridden budget passes with a warning flag.
Transaction Override overrides an entire transaction for all affected budgets. You can select Transaction Override either before budget checking or after budget checking with errors.

If Commitment Control Security is enabled, a user must be associated with a Super User rule in order to override at the transaction level. If Commitment Control Security is not enabled and the impacted source transaction type allows overrides, then all users can override at the transaction level. In both cases, if the transaction has been budget checked and has errors, the transaction override option on the exception inquiry page is active only if all of the errors are overridable.

Note. An override is applicable only to the original entry. After the override, any change or additions to the original journal lines causes the system to cancel the override and reset the header status to (N) not checked. This is to prevent the adding of lines using the same overridden ChartField combination to create unauthorized overrides for different or larger amounts.

See Also

Setting Up Commitment Control Security

Setting Up Commitment Control Source Transaction Types

Viewing and Handling Budget Transaction Exceptions

Self-Service Pages for Notification and Exception Handling

Commitment Control delivers the following self-service components designed to provide managers with easy access to the same information that they can access through Worklist notification.

Budget Alert

Enables you to specify preferences for receiving budget exception notification and early warnings. This component is identical in function to the Notify Preferences component.

View Budgets

Enables you to:

List the budgets you have notification security access to for a specific control budget definition.
Select individual budgets to see their budgeted, used, and available amounts.
Review any exceptions for the budget.
Override budget exceptions, if your security allows.

You can use PeopleSoft Application Designer to modify these web components just as you would any application components.

Setting Up Security for Notification and Exception Handling Self-Service

Commitment Control provides self-service pages for the Manager role. We deliver a sample definition for this role and have assigned sample permission lists to it. You can also modify this role or create your own.

Security set up is the same as that for exception notification, but keep the following in mind:

Assign the Manager role (or your equivalent) to the user profile for any user who wants access to these pages.
Specify the business unit and setID user preference for the user on the Define User Preferences - Overall Preferences page. This limits the budgets available to a user in the self-service pages, enabling them to use fewer search criteria to find their budgets.

See Also

Setting Up Commitment Control Security

Defining User Preferences

PeopleTools PeopleBook: Security, "Working With Permission Lists"

PeopleTools PeopleBook: Security, "Working With Roles"

PeopleTools PeopleBook: Security, "Setting Up User Profiles"

Setting Up and Running Exception Notification

To set up and run exception notifications, use the Notification Preference component (KK_NOTIFY_GRP) and the Create Alert Notification component (KK_RUN_NOTIFY_GRP).

To use the exception notification feature, you must first set up security and define notification preferences. You then run the Commitment Control Notify Application Engine process (KK_NTFY_WF) to retrieve budget exceptions and early warnings and notify the appropriate users using worklists and emails. In this section, we discuss the prerequisite security setup, along with how to:

Define notification preferences.
Run the Commitment Control Notify Application Engine process.
Work with worklists and emails.

See Also

Exception Notification

Prerequisites

Before users define their notification preferences, system-wide security and Commitment Control security must already be set up. The following procedure description mentions only security setup that is specific to exception notification.

To set up security for exception notification:

Define user profiles using the User Profiles component.

Enter the email address of the user on the User Profiles - General page.
Specify a default business unit for each user on the Overall Preferences page.
Activate the Workflow Notification security event using the Security Events page.

A user who receives notification and handles exceptions may also need access to the Budget Inquire, Budget Entry and Adjustment, and Budget Override security events. If you want to control access to these security events, you must activate them. If you do not do so, every user in the system who has PeopleSoft system security access to the pages on which one performs these security events has access to the events.
Define your security rules (groups of budgets) and apply them to the appropriate security events, using the Rule Definition and Apply Rule pages.

Define your rules such that all users with Workflow Notification access for a group of budgets also have Budget Inquire access, since users must be able to inquire about budgets about which they are notified. Usually a smaller subset of users has Budget Override access. Likewise, a smaller subset of users with Workflow Notification access usually has Budget Entry and Adjustment access to allow them to adjust budgets when transactions fail budget-checking.
Apply the security rules to the appropriate users, using the Associate Rules to User ID page, Assoc Rules to Permission List (associate rules to permission list) page, or Attach Dynamic Rules page.
Run the Commitment Control Security process (KSEC_FLAT) to activate the new security rules.

See Also

Setting Up Commitment Control Security

Defining User Preferences

PeopleTools PeopleBook: Security

Pages Used to Set Up and Run Exception Notifications

Page Name	Definition Name	Navigation	Usage
Commitment Control Notification Preference	KK_NOTIFY_PREFS	Commitment Control, Define Budget Security, Notification Preference, Commitment Control Notification Preference	Identify early warnings and exceptions for which you want to be notified.
Create Commitment Control Alert Notification	RUN_KK_NOTIFY	Commitment Control, Define Budget Security, Create Alert Notifications, Create Commitment Control Alert Notifications	Request a run of the Commitment Control Notify Application Engine process (KK_NTFY_WF). The Commitment Control Notify process scans the exception table and early warning and exception preferences and routes the notification to email and worklists of the user.

Page Name

Definition Name

Navigation

Usage

Commitment Control Notification Preference

KK_NOTIFY_PREFS

Commitment Control, Define Budget Security, Notification Preference, Commitment Control Notification Preference

Identify early warnings and exceptions for which you want to be notified.

Create Commitment Control Alert Notification

RUN_KK_NOTIFY

Commitment Control, Define Budget Security, Create Alert Notifications, Create Commitment Control Alert Notifications

Request a run of the Commitment Control Notify Application Engine process (KK_NTFY_WF).

The Commitment Control Notify process scans the exception table and early warning and exception preferences and routes the notification to email and worklists of the user.

Defining Notification Preferences

Access the Commitment Control Notification Preference page (Commitment Control, Define Budget Security, Notification Preference, Commitment Control Notification Preference).

Notification Options

Budget Exceptions	Select this check box; then identify the budgets for which you want to receive exception notifications in the Budget Items group box. Note. You must select either Budget Execution or Early Warning to receive notification. You can select both.
All Sources Transactions	Select to receive exception notification for all transaction sources—vouchers, purchase orders, and so on. Alternatively, you can specify sources in the Exception Sources group box.
All Budget Exceptions	Select to be notified of all exception types. Alternatively, you can specify exception events in the Exception Events group box.
Reset E-mail Notification	Click this button after making changes to your budgets. This clears out the message log and you receive future notifications. A user is notified once through email per budget or exception combination. For example, if budget A has run out of spending authority, then the system issues one message indicating that fact. This prevents a users email from overflowing with the same message every time a transaction fails against budget A. When additional funds have been put into budget A for example, the user then clicks the Reset E-mail Notification button to clear out the log and enable the user to receive future budget exceptions for budget A.
Early Warnings and Percentage Consumed	Select the check box and enter the percentage of the available budget that must be committed or spent before the system triggers an early warning. Then identify the budgets for which you want to receive early warnings in the Budget Items group box. Note. An early warning notification is re-sent for a given budget combination if the early warning percentage on the preferences page is changed or if the budget amount has changed since the previous notification was sent and the new percentage or amount is at a level that now triggers a notification.

Budget Items

Use the Budget Items group box to identify the ChartFields and Commitment Control budgets to which these notification preferences apply.

Budget Item Selection, Business Unit, and Ledger Group

Specify the ChartField values for which you want budget exception notification:

Specify Bus Unit/Ledger Group: Select to receive notification for all ChartField combinations for which you have security within a specific business unit and Commitment Control ledger group combination. Enter the Business Unit and Ledger Group.
Specify Business Unit: Select to receive notification for all budgets in all ledger groups for a specific business unit for which you have security. Select a specific business unit in the Business Unit field.
Specify Values: Select to specify ChartField values for a specific business unit and Commitment Control ledger group combination.

You must enter a specific business unit and Commitment Control ledger group. Entry fields for each key ChartField attached to the Commitment Control ledger group appear.

Note. You must have security for the ChartField values you specify.

From/To Budget Period

You can also specify budget periods to further refine your notification preferences.

Exception Events

Exception Event

Select the types of exceptions for which you want notification if you have not selected the All Budget Exceptions check box. You must also select at least one exception source to receive notification.

See Errors and Warnings.

Exception Sources

Exception Source

Select the source transaction types for which you want notification if you have not selected the All Sources Transactions check box. You must also select at least one exception event to receive notification.

Note. When you save your selections, the system validates your choices against the security rules. In addition, the Commitment Control Notify process rechecks security each time it runs.

See Also

Exception Notification

Viewing Budget Details

Running the Commitment Control Notify Application Engine process (KK_NTFY_WF)

Access the Create Commitment Control Alert Notifications page (Commitment Control, Define Budget Security, Create Alert Notifications, Create Commitment Control Alert Notifications).

Unit

Select the business unit for which you want to create notifications.

Working with Worklists and Emails

Your Worklist page and your email exception notification list all early warnings and exceptions for budgets for which you have authorization and have requested notification. Each exception and early warning is linked to the Budget Details page, where you can view the budget details and follow links to the Budget Exceptions page and the transaction exceptions pages.

See Also

Exception Notification

Viewing and Handling Budget Transaction Exceptions

Viewing Budget Details

PeopleTools PeopleBook: PeopleSoft Applications User's Guide

PeopleTools PeopleBook: PeopleSoft Workflow

Viewing and Handling Budget Transaction Exceptions

This section provides an overview and discusses how to:

View and handle budgets with exceptions.
View generic transaction exceptions.

(Generic (third-party) transactions cannot be added on line.)
View payroll transaction header exceptions.
View payroll transaction line exceptions.
View the budget checking status for a budget processor process instance.

See Also

Error Exception Handling

Understanding Viewing and Handling of Budget Transaction Exceptions

You can inquire on exceptions by budget or by transaction:

Use the Budget Exceptions component to view budgets with exceptions.

This component enables user with security access to override specific budgets for a failed transaction.
Use the transaction exception components to view source transactions with budget exceptions.

These components enable users with security access to override specific budgets for a failed transaction, as well as all budgets for a failed transaction.

Separate exception pages for each type of source transaction are provided. These pages are documented in their respective application PeopleBooks. The following table provides a list of transaction exception components not covered in this chapter and the PeopleBook and chapter in which each is discussed:

Component	Documentation
Voucher Voucher (NP) (voucher non-prorated) Voucher (Acct Ln) (voucher accounting line)	See Handling Budget-Checking Exceptions.
Revenue Estimate Direct Journal Receipt Accrual Expense Receipt Accrual Encumbrance	See Using Commitment Control Processing in PeopleSoft Receivables.
Billing Invoice	See Viewing Billing Invoice Budget Checking Exceptions.
CM Transaction (Cost Management Transaction)	See Using Commitment Control.
Travel Authorization Expense Sheet	See Using Commitment Control with PeopleSoft Expenses.
Journal Budget Journal	See Using Commitment Control in General Ledger. See Handling Budget Journal Exceptions.
Facilities Administration	See Processing Facilities and Administration Costs.
Project Journal Project Budget Journal	See Setting Up PeopleSoft Project Costing for PeopleSoft Commitment Control.
Procurement Card Purchase Order Purchase Order (NP) (purchase non-prorated order) Requisition Receipt Accrual Expense Receipt Accrual Encumbrance	See Using Procurement Cards. See Using Purchase Orders and Change Orders. See Using Requisitions and Requests for Quotes. See Using Receipt Accrual.

Common Elements Used in This Section

Advanced Budget Criteria	Select on a transaction header exceptions page (such as the Generic Exceptions page) to access the Refine Inquiry Criteria page (Click the Advanced Transaction Criteria link on the Commitment Control Budget Exceptions page for budget exceptions, where you can restrict budget rows to specific business units, ledger groups, accounts, and exception types. Leave these fields blank to return all values.
Budget Date	Accounting date of the transaction line. You define which field the system uses for the budget date for the transaction in the source transaction definition.
Exception	Description of the error or warning exception.
Exception Type	On Exception Details pages, the budget checking status of the transaction. On other pages, this is a different field, which you use to limit the exception rows retrieved to transactions with either an Error or Warning exception.
Foreign Amount	The amount of the line in the entry currency.
Ledger Group	Commitment Control ledger group for the transaction header exception or transaction line exception.
Line From/Line Thru (line from and line through)	To view a range of lines, enter the voucher line numbers in these fields. The prompt list shows only voucher lines with exceptions.
Line Status	The budget checking status of the transaction line. On some pages, you use this field to limit the selected rows to lines with either Error or Warning exceptions.
Maximum Rows	Select the maximum number of rows to display in the scroll area.
Monetary Amount	The amount in the base currency of the primary ledger.
More Budgets Exist	If selected, the transaction has more exceptions than the number you entered in the Maximum Rows field.
More Lines Exist	If selected, the transaction has more transaction line exceptions than the number you entered in the Maximum Rows field.
Override Budget	Select to update the control budget ledger, even though the transaction exceeds the budget. If Commitment Control Security is enabled, a user must be associated with a Super User rule in order to override at the budget level. If Commitment Control Security is not enabled and the impacted source transaction type allows overrides, then all users can override at the budget level. In both cases, if the transaction has been budget checked and has errors, the budget override option on the exception inquiry page is active only if all of the errors are overridable. Note. An override is applicable only to the original entry. After the override, any change or additions to the original journal lines causes the system to cancel the override and reset the header status to (N) not checked. This is to prevent the adding of lines using the same overridden ChartField combination to create unauthorized overrides for different or larger amounts. When a user overrides the budget, the system populates the Override User ID field with the user ID for the user who overrode budget checking and populates the Override Date field with the date and time the budget was overridden.
Override Date	Date that a user overrode a budget exception. The system updates this field.
Override Transaction	Select to enable the entire transaction to update the control budget If Commitment Control Security is enabled, a user must be associated with a Super User rule in order to override at the transaction level. If Commitment Control Security is not enabled and the impacted source transaction type allows overrides, then all users can override at the transaction level. In both cases, if the transaction has been budget checked and has errors, the transaction override option on the exception inquiry page is active only if all of the errors are overridable.
Override User ID	User who overrode a budget exception. The system updates this field.
Type	See Exception Type. Can also mean Transaction Type on some pages.
	Click the Budget Check button to run the Budget Processor again, after you override the transaction or a budget. Also run the process again if you changed the voucher.
	Click the Budget Check Details button to open the Commitment Control page, where you can see the Commitment Control transaction ID, Commitment Control transaction date, budget checking process status, process instance, source transaction type, Commitment Control amount type, and budget checking header status for the transaction.
	Click the View Related Links button to open a page with one or more of the following options, depending on the exception page: Go to Budget Exception opens the Budget Exceptions page, where you can view other transactions that have exceptions for the budget and override them. You must have authority to inquire on the budget to open the page. Go to Budget Inquiry opens the Budget Details page, where you can view the budget details, such as the available amount remaining, the attributes, and the amounts used by each ledger (encumbrance, pre-encumbrance, and so on) in the budget. You must have authority to inquire on the budget to open the page. Go to Source Adjustment opens a source transaction page where you can adjust the transaction. Go to Transaction Exception opens the appropriate header exceptions page for the transaction type, where you can view exception details for the transaction.

See Also

Errors and Warnings

Pages Used to View and Handle Budget Transaction Exceptions

Page Name	Definition Name	Navigation	Usage
Commitment Control Budget Exceptions	KK_XCP_BUDGET	Commitment Control, Review Budget Check Exceptions, Budget Exceptions, Commitment Control Budget Exceptions Click the View Related Links button on a transaction exception header page or Exceptions Details page. Click the Budget Exceptions link on the Budget Details page.	View and override control budget exceptions on a budget-by-budget basis. The page includes only budgets that have transactions with exceptions.
Refine Inquiry Criteria	KK_XCP_BD_ADV_SEC	Click the Advanced Transaction Criteria link on the Commitment Control Budget Exceptions page for budget exceptions.	Refine selection criteria for transactions to be viewed.
Generic Exceptions	KK_XCP_HDR_GEN	Commitment Control, Third Party Transactions, Generic Transaction Entry, Generic Exceptions Click View Related Links, Go to Transaction Exceptions on the Commitment Control, Budget Exceptions, and Budget Checking Status pages.	View budget checking errors or warning messages for third-party transactions. Users who have authority can override the budget exceptions on this page.
Refine Inquiry Criteria	KK_XCP_TR_ADV_SEC	Click the Advanced Budget Criteria link on a transaction exceptions (pages exist for various applications) header page for transaction exceptions.	Refine selection criteria for budgets to be viewed.
Commitment Control	KK_XCP_TRAN_SEC	Click the Budget Check Details button on the Commitment Control Budget Exceptions page or on a transaction exceptions header page.	View details about a source transaction with exceptions, including the amount type and override information.
Exception Details (header)	KK_XCP_TRAN_SEC2	Click the View Exception Details button on the Commitment Control Budget Exceptions page or on a transaction exceptions header page.	View budget exception details and drill down to transaction lines.
Generic Line Drill Down	KK_DRL_GEN_SEC	Click the Drill Down to Transaction Line button on the Exception Details page for a specific transaction line.	View line details for generic source transactions with budget exceptions.
Generic Transaction − Line Exceptions	KK_XCP_LN_GEN	Commitment Control, Third Party Transactions, Generic Transaction Entry, click in search results grid Click View Related Links, Go to Transaction Exceptions on the Commitment Control, Budget Exceptions, and Budget Checking Status pages.	View individual transaction lines in a generic source transaction with budget exceptions and view the budgets that caused the exceptions.
Exception Details (lines)	KK_XCP_TRAN_SEC3	Click the View Exception Details button on the Line Exceptions page for the source transaction.	View budget and exception details for a transaction line.
HR Payroll Exceptions	KK_XCP_HDR_HR1	Commitment Control, Review Budget Check Exceptions, General Ledger, Payroll, HR Payroll Exceptions Click View Related Links, Go to Transaction Exceptions on the Commitment Control Budget Exceptions page or the Budget Checking Status page	View budget-checking warning messages for Payroll transactions.
HR Payroll Line Drill Down	KK_DRL_HR1_SEC	Click the Drill Down to Transaction Line button on the (Payroll) Exception Details page for a specific transaction line.	View line details for Payroll source transactions with budget exceptions.
Payroll − Line Exceptions	KK_XCP_LN_HR1	Commitment Control, Review Budget Check Exceptions, General Ledger, Payroll, Line Exceptions Click View Related Links, Go to Transaction Exceptions on the Budget Exceptions page or the Budget Checking Status page.	View individual transaction lines in a Payroll source transaction with budget checking warning messages and all the budgets that caused the exceptions.
Commitment Control Budget Checking Status	KK_XCP_INQ_INSTANC	Commitment Control, Review Budget Check Exceptions, Budget Checking Status, Commitment Control Budget Checking Status	Review the budget checking status of source transactions for a single run of the Budget Processor. You can access the Transaction Header Exceptions page for the transaction, as well as transaction inquiry, entry, and adjustment pages where you can view and change the transaction.

Viewing and Handling Budgets with Exceptions

Access the Commitment Control Budget Exceptions page (Commitment Control, Review Budget Check Exceptions, Budget Exceptions, Commitment Control Budget Exceptions).

The Business Unit and Ledger Group fields are required when entering search criteria on the Budget Exceptions search dialog page. The remaining fields can be left blank to return all values or you can enter values to further refine your search.

Click the Search button on the search dialog page and any exceptions are displayed in the Search Results scroll at the bottom of the search page. The scroll becomes available only if there are transaction exceptions for a budget. The scroll also returns both error and warning exceptions in the same search.

When you select a row from the Search Results scroll and no transaction exceptions are returned in the Transactions with Budget Exceptions group box at the bottom of the Commitment Control Budget Exceptions page, click the Advanced Transaction Criteria link to refine the criteria so that you can review the details of the exception. For example, if exception type and the from and to dates for the Commitment Control Budget Exceptions page do not match the exception type and dates of the exception you selected in the Search Results scroll, no transactions are returned in the Transactions with Budget Exceptions group box.

Advanced Transaction Criteria	Click this link to access the Refine Inquiry Criteria page (Click the Advanced Budget Criteria link on a transaction exceptions (pages exist for various applications) header page for transaction exceptions) if you receive the message that no transaction rows were found given your criteria. In this case no information about the existing exceptions is initially returned in the Transactions with Budget Exceptions group box at the bottom of the Commitment Control Budget Exceptions page. Use this page to restrict or enlarge access to transaction rows by specifying exception type, transaction type, commitment control ID range, date range, and budget processor process instance. Note. You can leave most fields on the Refine Inquiry Criteria page blank to return all values but you must select errors or warnings to see that budget exception type. In addition, you must enter a value in the Date To field and the Date From field that is applicable to you inquiry.
Exception Type	If the exception type default to Warning in the initial search, you must change the value to Error to see errors, or to see results when the Transactions with Budget Exceptions group box does not become available after you select a transaction line in the Search Results scroll (that is to say, when the exception type value is defaulted to warning and the transaction is actually an error).
Date From and Date To	The Date To field defaults to the current date and the Date From field defaults to a date in the prior month, you must change the dates, if not applicable, to a range that encompasses the transaction exceptions on which you are inquiring or you receive the message that no transaction rows are returned because none match your criteria.
ID Name and ID Value	Transaction ID type, such as Requisition ID or Voucher ID. ID Value is the actual value of the identifier. Note. If the criteria you select using Advanced Transaction Criteria includes a transaction type, then the header key fields for the transactions appear instead of ID Name and ID Value. For example, if you select GL Journals for the transaction type the grid displays the Business Unit, Journal ID, and Journal Date.
Budget Detail	Click to access the Budget Details inquiry page, where you can view such budget details as available budget, budget exceptions, and budget attributes.

See Also

Viewing Budget Details

Viewing Generic Transaction Exceptions

Access the Generic Exceptions page (Commitment Control, Third Party Transactions, Generic Transaction Entry, Generic Exceptions).

Viewing Payroll Transaction Header Exceptions

Access the HR Payroll Exceptions page (Commitment Control, Review Budget Check Exceptions, General Ledger, Payroll, HR Payroll Exceptions and click View Related Links, Go to Transaction Exceptions on the Commitment Control Budget Exceptions page or the Budget Checking Status page).

Run Date	Displays the date that the payroll batch process was run for the transaction.
Accounting Date	Displays the accounting date of the payroll transaction.

Viewing Payroll Transaction Line Exceptions

Access the HR Payroll - Line Exceptions page (Commitment Control, Review Budget Check Exceptions, General Ledger, Payroll, Line Exceptions).

Run Date	Displays the date that the payroll batch process was run for the transaction.
Accounting Date	Displays the accounting date of the payroll transaction.

Note. There should be no error exceptions—only warnings—since you budget-check payroll transactions in Payroll prior to loading them to Commitment Control.

Viewing the Budget Checking Status for a Budget Processor Process Instance

Access the Commitment Control Budget Checking Status page (Commitment Control, Review Budget Check Exceptions, Budget Checking Status, Commitment Control Budget Checking Status).

Process Status

Select a Budget Checking Process Status.

Commit Control ID From and To

Select Commitment Control IDs to refine the status check.

Commit Control Date

Enter Commitment Control Date that encompass the status check.

See Also

Common Elements Used in This PeopleBook

Process Status	Select a Budget Checking Process Status.
Commit Control ID From and To	Select Commitment Control IDs to refine the status check.
Commit Control Date	Enter Commitment Control Date that encompass the status check.