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 topic.

See Understanding 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.

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 budget.	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 budget.	See E11.
E13	N	Budget is closed for referenced budget.	See E11.
E14	Y	Budget is on hold for referenced budget.	See E11.
E15	N	Transaction has offset account for referenced budget.	See E11.
E16	Y	Budget date is out of bounds for referenced budget.	See E11.
E17	Y	Spending authority over budget for referenced budget.	See E7, E11.
E18	N	CF (ChartField) funding source error for referenced budget.	See E8, E11.
E19	N	Cumulative calendar data not found for referenced budget.	See E9, E11.
E20	N	Cumulative date range not found for referenced budget.	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 budget.	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 budget.	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
E54	N	FS Allocation not defined	Funding source allocation is not defined.
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.
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.

Oracle recommends 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.

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.

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.

Term	Definition
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.

Term

Definition

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. A sample definition for this role is defined, and sample permission lists are assigned 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 PeopleTools: Security, Working with Permission Lists.

See PeopleTools: Security, Working with Roles.

See PeopleTools: Security, Setting Up User Profiles.