Create and Maintain Inter/IntraUnit Encumbrances (110.1.1)
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Create and Maintain Inter/IntraUnit Encumbrances (110.1.1)
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Business Process Overview
State procurement activity, including the creation of POs, is handled through procurement systems outside Florida PALM. These POs are used to communicate to suppliers an order for goods or services. All procurement activities including the creation of POs and the approval of goods and services received occurs outside Florida PALM.
Inter/IntraUnit Encumbrances can be established via interface, Spreadsheet Upload, or online entry. The basic information needed to establish an IU Encumbrance in Florida PALM includes: the receiving agency, a valid ChartField String string, and an amount. A grant, contract or project number may also be included to associate the IU Encumbrance to a grant, contract, or project.
Inter-agency Purchase Orders established in MyFloridaMarketPlace (MFMP) are not interfaced to Florida PALM. If an inter-agency encumbrance is needed, it must be entered online or via Spreadsheet Upload by the Agency IU Encumbrance Processor.
Business Process Diagram
Business Roles
The Business Process Flow Diagrams use horizontal swim lanes to depict where activities are performed by different parties or systems. Each swim lane is titled with a role, either agency-based or within DFS, and in some cases, are representative of an external entity or system. The swim lanes may change from page to page within a single business subprocess as more or fewer roles are required to execute sections of the business subprocess.
- Agency IU Encumbrance Processor: agency role responsible for entering IU Encumbrances into Florida PALM.
- Agency IU Encumbrance Approver: agency role responsible for reviewing and approving an IU Encumbrance transaction.
- Agency IU Spreadsheet Upload Processor: agency role responsible for uploading IU transactions via Spreadsheet Upload. This role must also have the IU Encumbrance Processor role to upload IU Encumbrances. (Role is not shown as a swim lane on flow diagram.)
Business Process Flows Details
The table below describes steps in each business subprocess as reflected on the Business Process Flow Diagrams. The table also reflects information associated with each step describing the intent of the specific process. Florida PALM screenshots are included within the sections to allow connections to be made from specific business subprocess steps to screens within Florida PALM. This information should be read in conjunction with the Business Process Flow Diagrams.
Process Step ID | Process Step Title | Description of Process |
|---|---|---|
1 | Inbound Inter/IntraUnit Interface (IUI002) | Agencies can establish and increase/decrease an IU encumbrance via IUI002 Inbound Inter/IntraUnit Interface. This interface does not provide the ability to delete an IU Encumbrance, this must be performed online. This standard flat file interface is established with agency business systems and Florida PALM to obtain Inter/IntraUnit (IU) Encumbrance transactions. An ‘Encumbrance Approval’ field is provided in the interface to mark the IU Encumbrance for approval, if needed. The ‘External Reference (Sending)’ field may be used to capture an agency assigned identifier. Agencies may interface attachments to the IU encumbrance transactions via SDI009 Inbound Attachments Interface. MFMP IU Purchase Orders are not interfaced into Florida PALM to establish an encumbrance. Agencies can establish these encumbrances by Spreadsheet Upload, Inbound interface from an Agency Business System, or manually entering. |
2 | Inbound Inter/IntraUnit Spreadsheet Upload (IUI001) | A user who is assigned both the Agency IU Spreadsheet Upload Processor and the Agency IU Encumbrance Processor role can use the IUI001 Inbound Inter/IntraUnit Spreadsheet Upload to establish and increase/decrease an IU encumbrance. The spreadsheet upload does not provide the ability to delete an IU Encumbrance, this must be performed online. A SpeedKey may be used in the Spreadsheet Upload to populate the distribution lines with ChartField values. Agencies will have the opportunity to define their own SpeedKeys. An ‘Encumbrance Approval’ field is provided in the spreadsheet upload to mark the IU Encumbrance for approval, if needed. The ‘External Reference (Sending)’ field may be used to capture an agency assigned identifier. Documents may be attached manually in Florida PALM to the IU encumbrance. |
3 | Perform Interface Error Checking | Interface validations are performed on each interface and Spreadsheet Upload before the data is allowed to load to the Inter/IntraUnit tables. If the file is rejected, all transactions in the file are rejected and the file must be resubmitted once issues are resolved. Rejected files are managed through the 120.1 Interface Error Handling Process. If the file is not rejected, edit validations are performed on each transaction before the data is allowed to load for processing in the Inter/IntraUnit module. Edit Validations include but are not limited to:
Additional Interface exceptions may occur when the data is validated against specific interface edits. Examples include duplicate data in the file, incorrect data, and missing required fields. Transactions with exceptions are rejected and agencies would need to resend the transactions in a future interface if an exception occurred. Rejected transactions are managed through the 120.1 Interface Error Handling Process. |
4 | Load Inbound IU Encumbrance Data | Florida PALM loads the IU encumbrance data and systematically generates the IU encumbrance transactions. For interfaced IU encumbrance transactions, a workflow approval will be required for any transactions where the ‘Encumbrance Approval’ field was designated as "Y." |
5 | Create/Update IU Encumbrance | An IU encumbrance may be established or updated manually by the Agency IU Encumbrance Processor. Reference Figure 1 for a Mock-up of the IU Encumbrance entry page. A SpeedKey may be used to populate the IU encumbrance lines with ChartField values when entering an online IU encumbrance. Agencies will have the opportunity to define their own SpeedKeys. Documents may be attached manually in Florida PALM to the IU encumbrance. An IU encumbrance may be updated by the Agency IU Encumbrance Processor if denied by the IU Encumbrance Approver. Reports available to assist with establishing or updating an IU Encumbrance include the following: |
6 | Run Edit Check | IU encumbrances entered online will be systematically Edit Checked upon saving or submitting the transaction. The Edit check process will validate that ChartField values are active, validate combination edit rules applicable to the transaction, amount validation, open period validation, etc. If edit errors are identified, the transaction will not process. The user will receive a message upon saving or submitting if the IU encumbrance fails edit rules. Upon successfully passing the Edit Check process, the transaction may require workflow approval. Agency IU encumbrances entered by interface or spreadsheet upload may be designated as pre-approved by entering a “N” in the ‘Encumbrance Approval’ field in the interface or spreadsheet upload. If the ‘Encumbrance Approval’ field entered is “Y,” the IU encumbrance processes through the approval workflow. The determination to require workflow approval depends on agency policy. Agencies have the option to assign both the Agency IU Encumbrance Processor and the Agency IU Encumbrance Approver role to the same person. This allows the user to approve an IU encumbrance they recorded. |
7 | Resolve Edit Errors | Edit errors that occur when an IU encumbrance is entered online must be resolved prior to the transaction proceeding. The system will not allow the IU encumbrance to be submitted until all the required fields are provided with valid active values. Processors should confirm the validity of the ChartField values and the ChartField String used on the transaction and make necessary updates. Agency IU Encumbrance Processors should confirm the date of transaction falls within an open Budget Period. If errors persist after making updates, and a SpeedKey is being used, the Agency IU Encumbrance Processor should consult with Agency COA Maintainer to determine if the SpeedKey was established accurately. Alternatively, the Agency IU Encumbrance Processor may determine to delete the transaction. If the edit error is not resolved within a specified number of days from the accounting date, the transaction will be auto deleted. Reports available to assist with resolving edit errors include: |
8 | Initiate Inter/IntraUnit Workflow (IUW001) | IU encumbrances established or updated online require approval from the Agency Encumbrance Approver prior to being submitted for the Budget Check process. Agencies have the option to assign both the Agency IU Encumbrance Processor and the Agency IU Encumbrance Approver role to the same person. This allows the user to approve an IU encumbrance they recorded. Agency IU encumbrances entered by interface or spreadsheet upload with a "Y" in the ‘Encumbrance Approval’ field must route through the approval workflow. |
9 | Review IU Encumbrance | An Agency IU Encumbrance Approver reviews the IU encumbrance. The approver will review ChartField values, receiving agency, and amount. The Agency IU Encumbrance Approver may approve or deny the transaction. Reports available to assist with identifying IU Encumbrances ready for approval include: Agency IU Encumbrance Approver may also view all workflow items routed to the user via the Worklist link found in the Inter/IntraUnit WorkCenter. |
10 | Deny IU Encumbrance | The Agency IU Encumbrance Approver denies the IU encumbrance and enters a comment for the denial reason. The IU encumbrance is returned to the Agency IU Encumbrance Processor to update or delete the IU encumbrance. |
11 | Delete IU Encumbrance | An IU encumbrance may be deleted in Florida PALM by the Agency IU Encumbrance Processor. An IU encumbrance cannot be deleted if it has successfully passed Budget Check. Agencies may access the IUR005 Inter/IntraUnit Transaction Detail Report to view deleted IU Encumbrances. |
12 | Approve IU Encumbrance | The Agency IU Encumbrance Approver approves the IU encumbrance and the transaction continues to the Budget Check process. |
13 | Run Budget Check | Each IU encumbrance is subject to Budget Check where availability of spending authority is validated. If there is not available spending authority, the transaction fails and must go through exception handling to continue. Any Budget Check errors are followed up for resolution through the 110.1.2 Monitor IU Encumbrances business subprocess. Reports available to view Budget Check errors on IU Encumbrances include:
|
14 | Record IU Encumbrance | IU Encumbrances passing Budget Check are recorded in the Encumbrance Detail Ledger within the Commitment Control module and budget is consumed. The IU Status of the IU Encumbrance will be updated to ‘Open’ which makes it available to pay against. Reference Appendix A for a list of statuses. IU encumbrances may be relieved in whole or partially when an Inter/IntraUnit transaction is created referencing the IU encumbrance. Reference 110.3 Inter/IntraUnit Transaction Processing for details. The IU Encumbrance transaction will contain a ‘Details’ link to view the remaining balance of the IU Encumbrance and any transactions or adjustments made against the IU Encumbrance. Reports available to view IU Encumbrances include:
|
15 | Outbound Inter/IntraUnit Interface (IUI003) | Florida PALM interfaces with agency business systems through the IUI003 Outbound Inter/IntraUnit Interface, as applicable, to provide IU encumbrance information, including establishment of IU encumbrances, errors, updates, closures, and deletions. |
Mock-up of IU Encumbrance Entry Page
Accounting Events
Accounting events originate during transaction processing in the applicable source module. The accounting events impact the source module, Commitment Control ledgers, and the General ledger (Actuals).
- Source Module accounting entries require user input (I) of the primary line (i.e., expenditure, revenues) with an automated (A) system offsetting line (i.e., payable, receivable) during transaction entry. The source model transaction must pass Edit Check, Budget Check, and Cash Check (on applicable entries) prior to posting the transaction.
- The Run Budget Check (Commitment Control) process automatically affects balances in the appropriate budget ledger (i.e., appropriation, spendable cash) if the transaction passes the budget check process.
- After the transaction is posted in the source module, an automated system process summarizes and posts the entries in the General Ledger module to the Actuals Ledger.
The table below provides the most common accounting events applicable to this business process.
Acct Event ID | Accounting Event | Commitment Control Ledger(s) Impact | Source Module Accounting Entry | General Ledger (Actuals) Entry |
|---|---|---|---|---|
IU01 | Establish Encumbrance | Increases:
Decreases:
Allotment | No Entry | No Entry |
IU02 | Increase Encumbrance | Increases:
Decreases:
Allotment | No Entry | No Entry |
IU03 | Decrease Encumbrance | Increases:
Decreases:
| No Entry | No Entry |
Reports
Key Reports are displayed as icons with the Report Number on this Business Process. The table below provides the reports identified to be produced at a particular process step or is used to support the completion of a process step.
Report Number | Report RICEFW ID | Report Description | Report Source | Report Frequency | Audience |
|---|---|---|---|---|---|
R1 | IUR005 | Inter/IntraUnit Transaction Detail Report – A report that lists transaction details for Inter/IntraUnit module transactions including Inter-IntraUnit expenditures, revenues, transfers, advances, reclassifications, encumbrances, and accruals. | PeopleSoft | Periodic, Monthly, Annually | Agency |
R2 | IUR010 | Denied IU Transactions (WorkCenter) – A report in the WorkCenter used to display a list of Inter/IntraUnit transactions submitted and are pending approval. | PeopleSoft | Periodic | Agency |
R3 | IUR011 | IU Edit Errors (WorkCenter) – A report that provides edit errors for IU transactions that require action. | PeopleSoft | Periodic | Agency |
R5 | IUR009 | IU Pending Approval (WorkCenter) – A report in the IU WorkCenter used to display a list of Inter-IntraUnit transactions submitted and are pending approval. | PeopleSoft | Periodic | Agency |
R6 | KKR018 | Agency Commitments Report – A report that provides encumbrances and payables by ChartField combinations by budget period(s). | PeopleSoft | Periodic, Monthly, Annually | Agency |
| R7 | IUR004 | IU Encumbrance and Accrual Activity Report – A data warehouse report detailing the IU Encumbrance and IU Accrual activity including the established encumbrance/accrual, payments made against the encumbrance/accrual, and remaining balances. | BI/DW | Periodic, Monthly, Annually | Agency |
| R8 | IUR006 | Inter-IntraUnit Budget-Cash Check Errors (WorkCenter) – A report in the KK WorkCenter used to display a list of Inter-IntraUnit transactions with budget and cash check exceptions that require action. | PeopleSoft | Periodic | Agency |
| R9 | KKR058 | Budget and Cash Checking Exceptions/Warnings Report – A report that lists transactions budget and cash check exceptions and warnings along with transaction amounts, to include the type of exception and where an override was applied. | PeopleSoft | Periodic, Monthly, Annually | Agency |
Interfaces
The table below provides the Interfaces identified on the Business Process.
Interface Number | Interface Description | Interface Frequency | Source | Target |
|---|---|---|---|---|
IUI001 | Inbound Inter/IntraUnit Spreadsheet Upload - Inbound interface to load Inter-IntraUnit transactions via the spreadsheet (Excel) upload functionality. This interface is used for Inter-IntraUnit expenditure, revenue, transfer, advance, reclassifications, encumbrances, and accrual transactions. | Daily | Agency Business System | Florida PALM |
IUI002 | Inbound Inter/IntraUnit Interface - Inbound interface used to record or update Inter-IntraUnit expenditures, revenues, transfers, advances, reclassifications, encumbrances, and accruals. | Daily | Agency Business System | Florida PALM |
IUI003 | Outbound Inter/IntraUnit Interface - Outbound interface containing established/updated IU Encumbrances, and posted/received Inter-IntraUnit expenditures, revenues, transfers, advances, reclassifications, and accruals. | Daily | Florida PALM | Agency Business Systems |
SDI009 | Inbound Attachments - Inbound interface to load attachments that are associated to Florida PALM transactions. | Daily | Agency Business Systems | Florida PALM |
Forms
The table below provides the forms identified on this Business Process.
Form Number | Form Description | Audience |
|---|---|---|
N/A |
Workflows
The table below provides the workflows identified on this Business Process.
Workflow Number | Workflow Description | Audience |
|---|---|---|
IUW001 | IU Transaction Workflow – Workflow to route IU transactions (including IU encumbrances) for approval. | Agency, DFS |
Version History
Date | Revision Description |
|---|---|
07/23/2024 | Original Version |
| 11/07/2024 | Updated based on 11/06/204 version history:
|
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