FAMIS ENCUMBRANCES EN DOCUMENT TYPES DESK MANUAL FOR DOCUMENT APPROVERS

Transcription

1 FAMIS ENCUMBRANCES EN DOCUMENT TYPES DESK MANUAL FOR DOCUMENT APPROVERS

2 INTRODUCTION This desk manual highlights the essential information for department approvers to consider when reviewing the City s Financial Analysis and Management Information System (FAMIS) encumbrances. The purpose of this document is to provide guidance to City departments on how and when to process EN encumbrance document and related modification in FAMIS. It describes the review and approval criteria to ensure compliance with the City s policies and procedures. AUTHORITY This guideline is issued under the Controller s authority under: 1) The City and County of San Francisco Charter, Article III, Section states that: All disbursements of funds in the custody of the Treasurer must be authorized by the Controller. No officer or employee shall bind the City and County to expend money unless there is a written contract or other instrument and unless the Controller shall certify that sufficient unencumbered balances are available in the proper fund to meet the payments under such contract or other obligation as these become due. 2) The City and County of San Francisco Administration Code, Chapter 10, Article I, Section states that: No obligation involving the expenditure of money shall be incurred or authorized by any officer, employee, board or Commission of the City and County unless the Controller first certifies that there is a valid appropriation from which the expenditure may be made, and that sufficient unencumbered funds are available in the treasury to the credit of such appropriation to pay the amount of such expenditure when it becomes due and payable. Each sum so recorded shall be an encumbrance for the purpose certified until such obligation is fulfilled, canceled or discharged, or until the ordinance or resolution is repealed by the Board of Supervisors. Certification of available funds for all purchases, contracts, and other obligations is done by posting an encumbrance transaction in FAMIS. WHAT IS EN? The encumbrance document type EN in FAMIS Accounting is used to record encumbrances with special requirements or conditions such as retention, liens, or complex account distribution. The document prefix EN is used to create an encumbrance, and document prefix EJ is used to modify an existing encumbrance. H:\BAT\Desk Procedures\EN-EJ Desk Procedures.doc Page 2 of 8

3 WHEN TO USE FAMIS ENCUMBRANCE EN? s for purchases of goods, maintenance, leases, general services, and professional service contracts are generally recorded in FAMIS Purchasing by creating a purchase order. FAMIS Purchasing interfaces and posts an encumbrance to FAMIS Accounting. s of construction and real estate contracts are generally recorded in FAMIS Accounting using an EN encumbrance document. These contracts often have special requirements or conditions, such as retention, liens, or complex accounts distributions which can only be processed in FAMIS Accounting. REVIEW AND APPROVAL CRITERIA: These procedures provide guidance to City departments on the policies and requirements to follow when approving new encumbrances and encumbrance modifications in FAMIS Accounting. The following approval criteria should be followed when the departments are reviewing and approving the FAMIS encumbrances. 1) Ensure Compliance with the City s Policies, Guidelines, Requirements, and Contracting Policies 2) Ensure the Accuracy and Completeness of the Input Elements 3) Ensure the Completeness of the & Modification with the Required Documentation and Authorization 1) Compliance with City Policies, Guidelines, Requirements and Contracting Policies Ensure services being contracted are appropriate and follow the procurement rules, such as competitive bidding. being recorded as EN should not cover goods and services required to be reviewed by Purchasing in the FAMIS Purchasing system. Select vendors in accordance with the City s purchasing and contracting procedures and select only vendors who are compliant with the City s purchasing and contracting rules. Ensure funds are budgeted and available before issuing the contract. For public works related encumbrances, contracts must be in compliance of the City s public works contracting policies and procedures. If funding source is from federal, state, or local grant, departments need to inform Office of Contract Administration/Purchasing, work order performing departments, and subrecipients, to ensure their compliance with grant requirements. Sub-contractors and grant sub-recipients are also required to be in full compliance with the City s and grantor s requirements. should be recorded in FAMIS before issuing contract or other commitment to the provider/vendor. must be compliant with contract terms and requirements stipulated in contract agreement. Modifications to the encumbrance must comply with the same City policies, guidelines, and requirements governing the original encumbrances to certify that it is proper, valid, and legal. Any officer who approves, or allows unauthorized or illegal contracts are liable to the City and subject to penalties. H:\BAT\Desk Procedures\EN-EJ Desk Procedures.doc Page 3 of 8

4 2) Ensure the Accuracy and Completeness of the Input Elements when Creating and Modifying in FAMIS Accounting A. Document Header Document Type: When creating a new encumbrance or modifying an existing encumbrance in FAMIS Accounting, use document type EN. Document Number: Use document prefix EN to create new encumbrance. Use document prefix EJ to modify an existing encumbrance, such as increasing or decreasing encumbrance amount, reclassifying, or adding new suffix to the encumbrance. Input Period: Use open fiscal month and fiscal year. Vendor Number/Suffix: Vendor number and name must point to a compliant vendor (such as current business tax, 12B compliance, HRC Form 3 on file). Check FAML9560 for vendor compliance status. Notepad field: Should be Y to include in the notepad certification that the contract is in place, confirmation of vendor compliance (such as 12B Equal Benefits, contractor insurance, business tax, etc.), or confirmation of waiver, and justification of the use of FAMIS Accounting EN instead of using PO or DP in FAMIS Purchasing. Approval Type: Generally 01 for standard departments to generate the proper approval path. Other approval types may be used based on the Controller s Office Fund Accountant s instructions. Document Amount: Total amount of all the lines. Number of Lines: Total number of the document lines. Transaction Code Hash: Total of all transaction codes. H:\BAT\Desk Procedures\EN-EJ Desk Procedures.doc Page 4 of 8

5 B. Document Detail Transaction Code: Use one of the following transaction codes to meet the purpose of the transaction. Transaction Doct Doct Transaction Accounting Effects Description Type Prefix Code Debit GL Credit GL To record new encumbrance To increase encumbrance amount To decrease encumbrance amount To reclassify encumbrance To add suffix to encumbrance EN EN 140 EN EJ 141 EN EJ 142 EN EJ 143 EN EJ 151 s s s s s Document Reference field: Include the original encumbrance number and suffix when modifying an encumbrance for cross reference and system edit. When adding new suffix to an encumbrance, input new suffix in this field. Transaction Description field: Describe purpose of the transaction with correct transaction code. Transaction Amount: Not to exceed the contract amount. Index Code: Use appropriate expenditure index code with budget. Sub-object Code: Use appropriate contractual or project related sub-object. Grant Code: Input grant code if the contract is funded by grant. Project Code: Must be input if the contract is project related. 3) Ensure the Completeness of the & Modification with the Required Documentation and Authorization The creation or modification of an encumbrance must be supported by documentation and authorization. Supporting documentation is kept on file at the departments. Examples of supporting documentation include a contract, explanation and justification for modifications and why a purchase order is not issued. Authorized signatory is the Department Head or designated officers. H:\BAT\Desk Procedures\EN-EJ Desk Procedures.doc Page 5 of 8

6 Examples of Transactions Document Detail Example 1 Create New Example 2 Increase Amount Example 3 Decrease Amount Example 4 Reclassify Example 5 Add Suffix to Example 1 Create New LINK TO: TRANSACTION DETAIL INQUIRY 1:22 PM ENPT SEPT /04/2008 TRANS CODE : 140 ESTABLISH A NON-ADPICS ENCUMBRANCE DOCUMENT REF : : Y TRANS DESC. : TO REFURBISH EXISTING FARE COLLECTION SYSTEM AMOUNT : 19,000, DUE DATE : SINGLE CHECK : VENDOR NUMBER : 5XXX8 01 XXXXXXX TRANSPORTATION SYSTEMS INC INDEX CODE : 35CPT FAREBOX REHAB (CP) PROCUREMENT SUB-OBJECT : OTHER PROFESSIONAL SERVICES GRANT / GR DTL : PROJ / PJDTL : CPT FAREBOX REHABILITATION-CP PROCUREMENT 1:22 PM ATTACHED TO : DOCUMENT NUMBER : ENPT PAGE : 01 OF 01 TO REFURBISH EXISTING FAREBOX COLLECTION SYSTEM. Example 2 Increase Amount LINK TO: TRANSACTION DETAIL INQUIRY 1:29 PM EJPT SEPT /04/2008 TRANS CODE : 141 INCREASE A NON-ADPICS ENCUMBRANCE DOCUMENT REF : ENPT : Y TRANS DESC. : AMENDMENT NO. 1 AMOUNT : 207, DUE DATE : SINGLE CHECK : VENDOR NUMBER : 6XXX0 01 XXXX XXXX INDEX CODE : 35CPT ARTIC TC-PROCUREMENT SUB-OBJECT : INVENTORIES-PURCHASE GRANT / GR DTL : PROJ / PJDTL : CPT PROCUREMENT 1:29 PM ATTACHED TO : DOCUMENT NUMBER : EJPT PAGE : 01 OF 01 TO PURCHASE PARTS FROM SKODA LISTED IN THE AGREEMENT AMENDMENT NO. 1 TO FURNISH AND INSTALL CROSSBEAMS CONTRACT AMOUNT... $5,287, THIS AMENDMENT , TOTAL AMOUNT... $5,495, H:\BAT\Desk Procedures\EN-EJ Desk Procedures.doc Page 6 of 8

7 Example 3 Decrease Amount LINK TO: TRANSACTION DETAIL INQUIRY 1:32 PM EJPT OCT /17/2008 TRANS CODE : 142 DECREASE A NON-ADPICS ENCUMBRANCE DOCUMENT REF : ENPT : Y TRANS DESC. : TO DECERTIFY REMAINING ENCUMB IN CS-142, BUTLER AMOUNT : 59, DUE DATE : SINGLE CHECK : VENDOR NUMBER : 5XXX2 01 XXXXXX ENTERPRISES GROUP LLC INDEX CODE : 35CPT METRO EAST-CP-OTHER CONSULTANTS SUB-OBJECT : OTHER PROFESSIONAL SERVICES GRANT / GR DTL : PROJ / PJDTL : CPT METRO EAST-CP-OTHER CONSULTANTS START DATE : END DATE : G/L / SUBSID : BANK NO/ SUBSID : TREAS NUM : CURRENCY CODE : CONV DATE : FRGN CURR AMT: F1-HELP F4-PRIOR F5-NEXT F9-LINK F11- F12-APPR HIST G008 - NEXT RECORD DISPLAYED 1:32 PM ATTACHED TO : DOCUMENT NUMBER : EJPT PAGE : 01 OF 01 CPT522-3RD ST LIGHT RAIL PROJECT: SEGMENT 1, MME, CS-142 BUTLER ENTERPRISES DECERTIFICATION OF REMAINING FUNDS FOR CLOSEOUT 1. TO DECERTIFY REMAINING ENCUMBERED FUNDS IN ENPT PER PM S DATED 10/14/08. THE CONTRACT HAS BEEN CLOSEOUT AND ENCUMBERED FUNDS OF $59, IS NO LONGER NEEDED. (PROJECT ENCUMBRANCE ANALYSIS SHEET ON FILE). Example 4 Reclassify LINK TO: TRANSACTION DETAIL INQUIRY 2:06 PM EJCI SEPT /29/2006 TRANS CODE : 143F RECLASSIFY NON-ADPICS ENCUMBRANCE DOCUMENT REF : ENCI : Y TRANS DESC. : TO MOVE THE ENC BALANCE FR TO AMOUNT : 87, DUE DATE : SINGLE CHECK : VENDOR NUMBER : 3XXX1 01 PXXXX INC INDEX CODE : CFC-FAMILY SUPPORT PROGRAM SUB-OBJECT : COMMUNITY BASED ORGANIZATION SERVICES GRANT / GR DTL : CHPR10 01 FY 2001 PROP 10 TOBACCO TAX FUNDING PROJ / PJDTL : START DATE : END DATE : G/L / SUBSID : BANK NO/ SUBSID : TREAS NUM : CURRENCY CODE : CONV DATE : FRGN CURR AMT: F1-HELP F4-PRIOR F5-NEXT F9-LINK F11- F12-APPR HIST H:\BAT\Desk Procedures\EN-EJ Desk Procedures.doc Page 7 of 8

8 2:07 PM ATTACHED TO : DOCUMENT NUMBER : EJCI PAGE : 01 OF 01 THIS IS TO MOVE THE REMAINING ENCUMBRANCE OF ENCI FROM INDEX CODE TO FOR NEW FY 06-07, AS PER TAMARA FOSTER, FIRST 5 SF'S FINANCE ADMINISTRATOR. -BRANDON SHOU 9/25/ WE ARE SHIFTING REMAINING ENCUMBRANCES TO NEW INDEX CODES PREVIOUSLY ENCUMBERED IN NEW INDEX CODES ARE CREATED FOR VARIOUS CFC PROGRAMS IN ORDER TO SHOW ENCUMBRANCES AND EXPENDITURES FOR THE INDIVIDUAL PROGRAMS STARTING IN FY 06/07 AS INSTRUCTED BY THE STATE. Example 5 Add Suffix to LINK TO: TRANSACTION DETAIL INQUIRY 1:34 PM EJPT NOV /01/2008 TRANS CODE : 151 ADD A SUFFIX TO A NON-ADPICS ENCUMBRANCE DOCUMENT REF : ENPT : Y TRANS DESC. : SETUP ENCUMB FOR CPT522.W332 USING NEW VENDOR ID AMOUNT : 31, DUE DATE : SINGLE CHECK : VENDOR NUMBER : XXXX XXX XXX INC INDEX CODE : RD ST PROG WIDE-CP/CT MGT:CS-132 SVRDRP SUB-OBJECT : OTHER PROFESSIONAL SERVICES GRANT / GR DTL : PROJ / PJDTL : CPT522 W332 3RD ST PROG. WIDE-CP/CT MGT:CS-132 SVRDR START DATE : END DATE : G/L / SUBSID : BANK NO/ SUBSID : TREAS NUM : CURRENCY CODE : CONV DATE : FRGN CURR AMT: 1:34 PM ATTACHED TO : DOCUMENT NUMBER : EJPT PAGE : 01 OF 02 CPT522-3RD ST LIGHT RAIL PROJ: CS-132 JACOBS FIELD SVCS. 1. TO ENCUMBER FDS PER CERTIFICATION REQUEST DATED 11/20/08 ON INDEX CODES AND 35CPTXXXX332 TO FUND CONSULTANT WORK. CERTIFICATION OF ORIG CTRCT AGREEMENT ORIG CTRCT AMT 16,000, CTRCT MODS 1 TO 3 2,563, TOTAL CTRCT AMT 18,563, CERTIFICATIONS: PREVIOUSLY CERTIFIED 17,284, H:\BAT\Desk Procedures\EN-EJ Desk Procedures.doc Page 8 of 8