Managing Financial Reporting
Desk Procedures
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Table of Contents
Table of Contents ......................................................................................................................... 2
Overview....................................................................................................................................... 3
Roles and Responsibilities Applicable to Business Process ......................................................... 4
Financial Policies and Procedures ................................................................................................ 4
SFR Reporting Workbench ........................................................................................................... 5
Roles Applicable to this Process ............................................................................................... 5
Review Workbench for Reports Due ..................................................................................... 6
Establish a Report Submission Status................................................................................. 10
Create Worksheet and Evaluate Transactions ........................................................................... 17
Roles Applicable to this Process ............................................................................................. 17
Update Reporting Plan and Events ..................................................................................... 17
Worksheet (UMFCA001) ..................................................................................................... 23
Analyze Transactions (Select and Split Transactions)......................................................... 25
Draft/Proforma Process .............................................................................................................. 29
Roles Applicable to this Process ............................................................................................. 29
Create Proforma/Draft Report ............................................................................................. 30
Create Draft Transaction Report ......................................................................................... 34
Update Worksheet ............................................................................................................... 41
Delete a Worksheet (Cancel a Proforma/Draft) Report ....................................................... 44
Finalize a Report Process........................................................................................................... 46
Roles Applicable to this Process ............................................................................................. 47
Finalize a Report ................................................................................................................. 47
Create Final Transaction Report ......................................................................................... 51
Void a Finalized Report ....................................................................................................... 56
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Overview
Some sponsors require financial reporting on their grants to show how their funding was spent.
A financial report is very similar to a rate based invoice, except, a financial report does not book
any accounting entries. These financial reports are due to the sponsors on a predetermined
schedule and format that is defined by the sponsor.
This document will walk the user through all of the sub-processes that are associated with the
Managing Financial Reporting Business Process.
 SFR Workbench
 Create Worksheet and Evaluate Transactions
 Draft/Proforma Process
 Finalize a Report Process
Frequency
Daily
Module/Tables
Contracts
Documents Used
Custom Report Forms
Approval Points
As Required - Fiscal Officer, Principal Accountant (Manual Process)
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Roles and Responsibilities Applicable to Business Process
SFR Workbench - SFR Accountants
Create Worksheet and Evaluate Transactions – SFR Accountants
Draft/Proforma Process - SFR Accountants, Fiscal Officer/Other Approver
Finalize a Report Process - SFR Accountants
Financial Policies and Procedures
See the following related policies;



Interim/Final Transaction Review
Timeliness of Reports
No Response from the Academic Department
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SFR Reporting Workbench
The SFR Reporting Workbench is a tool to aid the SFR Accountants in managing and prioritizing
their workloads, monitoring their assigned accounts for financial reports that are coming due,
and keeping apprized of the status of reports that are in progress.
Portion of Business
Process Flow covered in
this section
Roles Applicable to this Process

SFR Accountant
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Review Workbench for Reports Due
Detailed description: The workbench can be used multiple ways to help the Accountant
manage and prioritize their workload. It can also be used by the Supervisors to manage work
distribution. The workbench can be populated using no criteria which will bring back all financial
reporting events that are past due or are due in the future. The workbench can be called using
the reporting specialist and/or the event date thru fields.
Once the workbench is loaded it can be sorted by any individual column within the grid and
exported to Excel for further manipulation.
Navigation: Customer Contracts > Create and Amend > UM Invoice and Rept
Workbench
 Select the “UM Reporting Workbench” tab
UM Reporting Workbench prior to search criteria being entered
Field Values and Descriptions for the UM Reporting Workbench search criteria
Field
Values Entered
Description
Business Unit
UMSPR (Always)
Reporting Specialist
Value Varies
Event Date Thru
Value Varies
This field will tell the page to search in a specific Business
Unit to populate the data. The U of M Standard for
sponsored activity is “UMSPR”. Field can be populated by
using the Look Up icon.
Populate this field with a Reporting Specialist to look at a
single person’s list of reporting events that have not been
completed. Leave the field blank to look at all reporting
events that have not been completed. Field can be populated
by using the Look Up icon.
Populate this field to limit the number of reporting events that
are displayed based on the Event Date (i.e. if you want to look
at all of the Events that are scheduled through the end of
January the user would enter 01/31/YYYY). Note this field
looks at event date not due date.
1. After the wanted search criteria have been entered click on the “Search” pushbutton.
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UM Reporting Workbench after population
Field Values and Descriptions for the UM Reporting Workbench grid display (No Entry)
Field
Description
Contract Number
(hyperlink)
Event Number
Event Date
Final
Due Date
PA
DR
Report Start
Report End
Contract End Date
Report Form
This is the Contract number that is assigned to the Grant. It is the equivalent
of the Award number. If the Contract number hyperlink is selected it will bring
the user to the Contract Header page. From the Contract Header page the
Reporting Plan page or Additional Information page can be accessed.
This field indicates which Reporting Event for the Contract that the data row is
showing values for
The Event Date is equal to the Report End Date and is the date that is used for
searching on this page
This field indicates as to whether the Reporting Events is a Final (budget
period end or Grant end report) or not. Selected/checkmark means that it is a
final.
This field is the date that the report is due to the Sponsor
This field indicates that the Report is Pre Approved for processing. Current
there is no functionality behind the field, included for future Financial System
Update
This field indicates that the Report is set for Direct Reporting. Current there is
no functionality behind the field, included for future Financial System Update
This field is the first day of the rows Event reporting period
This field is the last day of the rows Event reporting period
This field is the Grant End Date
This is the custom report form that is required by the sponsor for reporting. In
the Financial System all report forms are custom including the standard U of M
forms.
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Event Status
Sponsoring Agency
Title
Submission Status
Reporting Specialist
This field indicates where in the process the report is currently at.
Pending = No Worksheet created, and not ready to be created
Ready = No worksheet created but is ready to be created
In Progress = Worksheet has been created and transactions are available for
review on the “UM Report Transaction Detail” page. Proforma report may or
may not have been created.
Voided = A report had been finalized at one time but has now been voided.
The report must be created again.
This field displays the Sponsor for the research
This field displays the title of the Award
This field displays a description of why the report is late
This field shows the individual that is assigned to the contract and therefore
responsible for creating the report
Reporting Workbench Special Features
3
1
4
2
1. The page can be resorted quickly and easily by clicking on any column header. The first
click will sort the page by that column in ascending order. The second click will resort the
page by that column in descending order.
2. By clicking on the “Customize” hyperlink the user will be brought to another page that
they can establish their own sort order of the page. The Workbench is initially sorted by
Event Date in ascending order. If the user wanted it sorted in ascending order by Start
Date and to not display the PA and DR Fields, it can be accomplished as shown in the
screen shots below.
Workbench in initial sort order (Event Date)
 Click on the “Customize” hyperlink, the user will be brought to a Personalize
Column and Sort Order page
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 To change the column display order on the page the user just needs to highlight a
field in the Column Order box and use the up or down arrows to move the field.
 To reset the sort order, highlight the field that you want to sort on in the Column
Order box and click the right arrow pushbutton. You can sort by multiple fields if
wanted. The sort order is based on placement in the Sort Order box. First in list
will be the primary sort field, second will be the next field, etc.
 To hide a field from display, highlight it in Column Order field and then click the
“Hidden” checkbox. The text (hidden) will then be displayed next to the field.
 After changes have been made the user must select the “OK” pushbutton to save
the change. The customization to the page is by UserID and will stay this way until
it is changed again.
New sort order display (Report Start Date order) with hidden fields (PA and DR) no longer
visible.
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Establish a Report Submission Status
If while a user is analyzing their Reporting Workbench and finds that a report is past due and
there is no Submission Status displayed they must establish one. This field is used to help the
accountants monitor and prioritize their workload. This field is also used for Management
Reporting.
There are 2 ways of accessing the page to add or update a Reporting Submission Status field.
The first is from the Reporting Workbench.
UM Reporting Workbench, Event displayed is past due and requires a Submission Status
Submission
Status Field
is empty
Event is past
due
1. Make note of the Contract Number and Event Number for the late report.
2. The user will click on the Contract Number hyperlink. This will bring the user to the
Contract Header page.
Contract Header page
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NOTE: To access the page to add or update a Submission Status without going through the
Reporting Workbench Navigate to: Customer Contracts > Create and Amend > General
Information. Use the Contracts General Information search page to search for the Contract
Number noted in Step 1 above. The user will be brought to the above page.
3. Select the “Additional Information” hyperlink on the Contracts General Information page.
The user will be brought to the UM Additional Information Page.
Result 1 of 2
UM Additional Information page, prior to any Reporting Submission Status being
established.
If page is not displaying
the “Add Report
Submission Status”
pushbutton move to
Result 2 of 2 and Step 4
NOTE: This page has several different purposes but only the Reporting Submission Status will
be addressed in this document.
4. Click the “Add Report Submission Status” pushbutton, a blank Submission Status row will
be opened. Skip to step 5. If there is no such pushbutton skip to the Result 2 of 2 and
Step 4
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Result 2 of 2
UM Additional Information page, with an existing Report Submission Status
5. Click the “+” (plus) pushbutton at the end of the already established Report Submission
Status data row. A new, blank, Report Submission Status row will be opened.
UM Additional Information page with a blank Report Submission Status row available for
edit
NOTE: Regardless of which way the new Report Submission Status row was added (+
pushbutton or Add pushbutton) the steps and information will be the same from this point
forward in this sub-process.
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Field Values and Descriptions for the UM Additional Information page, Report
Submission Status row
Field
Values Entered
Description
Event Number
Value noted in Step
1 above
Report Event Date
Default
Sponsor Due Date
Default
Final Report
Default
Event Status
Default
Reporting Specialist
Value Varies
Reporting Specialist
Name
Report Submission
Status
Default
Value Varies
This field will be populated with the Reporting Event Number
for the financial report that is late for submission to the
sponsor
This field will default based on the Report Event Number
selected above. It is the equivalent of the Report End Date
This field will default in based on the Report Event Number
selected above. This is the date that the report is due to the
sponsor. Verify that the date populated in this field does
coincide with a late report, if it doesn’t the Event Number
selected may be incorrect.
The field will default based on the Report Event Number
selected above and the data established on the Report Plan.
The field indicates if the report is a final (budget or grant
period end report).
This field will also default based on the Report Event Number
selected. It will display what status the report is in (i.e.
Pending, Ready, In Progress or Voided)
Select the Reporting Specialist that is currently responsible for
report submission for the contract. The field is a look up value
in order to maintain historical information.
This field will default in the name of the reporting specialist
that was selected in the above field
The user should select the value in this field that best
describes the reason for the late submission of the report.
Reporting Submission Status values are;
 NOGA Received after Due Date
 No Approved Reason
 Other
 Pend Next Increment of Funding
 Pend Prior Pd Rpt/Inv Spon App
 Pending Carry Forward Approval
 Pending Deliverable Approval
 Pending No Cost Extension
 Pending Re budgeting Approval
 Pending Sub Contract Payment
 Revised Report/Invoice
 SNAP
 Sponsor Approved Deadline Ext
6. After all values have been entered the user will push the “Save” pushbutton. If any
reason was selected for a Report Submission Status except "Other" this process is
complete. If “Other” was chosen please continue with the next step.
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7. If a value of “Other” was chosen for the Report Submission Status a Contract Note must
be entered to explain the reason. Other should be chosen only if prior Supervisor
approval is received.
Navigation: Customer Contracts > Create and Amend > General Information
Use the Contracts General Information search page to search for the Contract Number that the
“Other” Report Submission Status was set up on. The user will be brought to the Contracts
General Information page.
Contract General Information page
8. From the “More” drop down select Internal Notes. This will bring the user to the Contract
Notes, Find an Existing Value page.
9. Select the “Add a New Value” tab, the user will be brought to the Contract Notes, Add a
New Value page.
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Contract Notes, Add a New Value page
Contract Notes, Add a New Value page
Field
Values Entered
Business Unit
Default
Contract
Default
Description
This field is tells the add process which Business Unit to add
the new note to. The field will default in based on the Contract
General Information page the user was on when the Internal
Notes value was selected. The U of M Standard for
Business Unit on sponsored activity will be UMSPR.
This field is tells the add process which Contract Number to
add the new note to. The field will default in based on the
Contract General Information page the user was on when the
Internal Notes value was selected. Verify that this number is
equal to the Contract Number that the “Other” Report
Submission Status record was added to.
10. Click the “Add” pushbutton, the user will be brought to the Notes page
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Notes page
NOTE: All information must be entered before the record can be saved. After the Save
pushbutton is selected the note can not be updated or deleted.
Notes page
Field
Values Entered
Component
Contract Header
Classification
Custom
Note Type
<blank>
Text
Value Varies
Description
This field indicates which component of the Contracts Module
that the note is applicable to. For this sub-process the value
here will always be Contract Header
This field states what type of note it is. Because in this
process the user will need to add original text the option must
be Custom that is selected
Do not select a value here, this field will allow the user to
choose a place to print the note such as on Invoices.
The text that is entered in here must include the who, what,
when, why and where for the late report submission. Also
note the Event Number of the late report.
11. Verify that all information is complete and correct. The note will not be able to be
updated or deleted once it has been saved.
12. Click the “Save” pushbutton
This sub process is now complete
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Create Worksheet and Evaluate Transactions
This sub process will take the user from updating the Reporting Event to make it ready for
reporting through to analyzing the transactions, or portions thereof, that have not been
previously reported on.
Portion of Business
Process Flow covered in
this section
Roles Applicable to this Process

SFR Accountant
Update Reporting Plan and Events
Detailed description: The Reporting Event must be evaluated to verify that it is ready for the
financial reporting process to begin.
The navigation to the UM Reporting Plan can happen 3 different ways depending on where the
user is in the system.
1. Menu Navigation directly to the UM Reporting Plan page
2. Selection of the UM Reporting Plan hyperlink off of the Contract General Information
page
3. Through the Contract Number hyperlink on the Reporting Workbench, then selection of
the UM Reporting Plan hyperlink on the Contract General Information page.
All 3 Navigations will be shown.
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Navigation 1 – Menu Navigation directly to the Um Report Plan page
Navigation: Customer Contracts > Create and Amend > UM Reporting Plan
The user will then have to use the UM Reporting Plan search page to access the Contract that
the financial report is to be created on.
Navigation 2 – Selection of the Reporting Plan hyperlink off of the Contract General
Information page
Navigation: Customer Contracts > Create and Amend > General Information
The user will need to use the General Information search page to access the Contract that the
financial report is to be created on and then select the UM Reporting Plan hyperlink on the
Contract General Information page as shown in the below screen shot
Contract General Information page
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Navigation 3 – Selection of the Contract Number hyperlink on the UM Reporting
Workbench and then selection of the UM Reporting Plan hyperlink on the Contract
General Information page
Navigation: Customer Contracts > Create and Amend > UM Invoice and Rept
Workbench > UM Reporting Workbench tab
The user will select the Contract Number hyperlink from the UM Reporting Workbench as shown
in the below screen shot. This will bring the user to the Contract General Information, where the
user will select the UM Reporting Plan hyperlink as shown in the above screen shot.
UM Reporting Workbench page
Regardless of which navigation is followed the user will end up on the UM Reporting Plan page.
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UM Reporting Plan page
UM Reporting Plan page
Field
Values Entered
Pre Approved
<blank>
Direct Reporting
<blank>
Reporting Frequency
Value Varies, will
already be
populated
Report Form ID
Value Varies, will
already be
populated
Event Number
Default, view only
Start Date
Value Varies, will
already be
populated
Description
This field is part of the page for a future system enhancement.
There is no functionality behind the field
This field is part of the page for a future system enhancement.
There is no functionality behind the field
This field states how often financial reporting is required (i.e.
monthly, quarterly, annually, termination/final, etc). If the user
is beginning work on their first financial report this field should
be reviewed for accuracy against the contract terms and
conditions and to verify that it coincides with the reporting
events that are established in the Reporting Event Details
section of the page
This field states the report form (Standard U of M or Sponsor
Custom form) that is assigned to this contract to be used. If
the user is beginning work on their first financial report this
field should be reviewed for accuracy against the contract
terms and conditions.
This field is an auto numbering field to assign a sequence
number to a specific to a single reporting event.
This field is equal to the financial report start date. For the
first reporting event it should be equal to the Contract Start
date. For each subsequent reporting event it will be equal to
the previous events End Date + 1
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End Date
Processing Status
Value Varies, will
already be
populated
Value Varies, will
already be
populated
Final
Value Varies
Due Date
Default
Event Status
Defaults
Report Number
Defaults
Project Period
Value Varies, will
already be
populated
This field is equal to the financial report end date.
This field indicates the readiness of work to begin on the
financial report for the specific reporting event. Available
statuses are “Pending” or “Ready”. In order for a worksheet
to be created (list of transactions available for reporting) the
event Processing Status must be equal to “Ready”. Values
are selected/updated by selecting the drop down next to the
field
This field states whether or not a reporting event is going to
produce a “final” (budget period or grant period end) financial
report. The field will be set up at contract entry time. If the
user is beginning work on their first financial report this field
should be reviewed for accuracy against the contract terms
and conditions. Checked = final, Un Checked = Interim
This field states the date that the financial report is due to the
sponsor. If the user is beginning work on their first financial
report this field should be reviewed for accuracy against the
contract terms and conditions.
This field shows that status of the reporting event and financial
report. The value displayed in this field is driven by the
Processing Status (above) and system processes that have
been run. Available values are; Pending, Ready, In Progress,
Completed and Rpt Voided
This field will display the report number that is assigned at the
time of report finalization.
This field is the Project Period in which the reporting event
falls into.
1. Verify that all fields are accurate according to the contract terms and conditions
2. Verify that or update the Processing Status to “Ready”. This is accomplished by using
the drop down next to the Processing Status field. Once the Event row is in Ready status
the Create Worksheet pushbutton will be made available for selection.
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UM Reporting Plan page
3. Verify:
a. Processing Status = Ready
4. Note:
a. Event Status = Ready
b. Create Worksheet pushbutton is available for selection
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Worksheet (UMFCA001)
Detailed description: In order to create a financial report a list of transactions/expenses that
are available to be reported on, but have not previously been reported on, must be created.
Navigation: Customer Contracts > Create and Amend > UM Reporting Plan
Note: Any of the 3 navigations discussed in the Update Reporting Plan and Events sub process
in this section can be used to navigate to the UM Reporting Plan page.
UM Reporting Plan page
1. Select the “Create Worksheet” pushbutton. This will bring the user to the Reporting
Worksheet Process Through Date page
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Reporting Worksheet Process Through Date page
Update date to fit
reporting
requirements
UM Reporting Plan page
Field
Values Entered
Through Date
Defaults with the
current date, but
may need to be
updated
Description
This field tells the Process to pull all transactions, or portion
thereof that have not previously been reported on that have an
accounting date that is less than or equal to the date
populated in this field. This date can not be a date in the
future.


If the report that is being created is an Interim report
and transactions don’t have to be analyzed the user
can populate this field with the date that is equal to the
Report End Date from the UM Reporting Plan page for
the Reporting Event that is being worked on
If the report is a final or transactions need to be
analyzed this date will vary based on the requirements
of the contract. For instance if a report end date was
09/30/07 and the user wanted to analyze 90 days
worth of transactions after this end date this field would
be populated with a date of 12/29/07.
2. After the date has been populated correctly click the “OK” pushbutton. This will kick off
process UMFCA001. Once the process has stopped running the user will be brought to
the UM Report Transaction Detail page.
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UM Report Transaction Detail page (referred to as the Reporting Worksheet)
Analyze Transactions (Select and Split Transactions)
Detailed description: Once a Reporting Worksheet has been created, transactions may have
to be analyzed for allowability to the reporting period. After the analysis is complete some
transactions may have to be selected to NOT be included in the current financial report or only
have a portion of the transaction picked up to be included on the financial report. This page
allows the user to have this flexibility.
Navigation to this page can happen 1 of 2 ways. The first is by completing the steps in the
“Create Worksheet (UMFCA001)” sub process in this document. If access to the page is
required after those steps have been completed the user will need to follow the below navigation
that will bring them directly to the page.
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Navigation: Customer Contracts > Create and Amend > UM Report
Transaction Detail
The user will need to use the UM Report Transaction Detail search page to locate the
Transaction Detail page for the Contract that they are working with.
The “Save”
pushbutton should
be used throughout
the analyze process
and when all
changes/updates
are complete.
UM Report Transaction Detail (Reporting Worksheet) page, header section which is
informational only
Field
Values Entered
Description
Contract Number
Title
Due Date
Through Date
Default
Default
Default
Default
Report Start Date
Default
Report End Date
Default
Event Number
Default
Tells the user which Contract they are working with
Shows the Award/Contract/Project Title
States the date that the financial report is due to the sponsor
Shows the date that the transactions were pulled through to
populate the Reporting Worksheet (based on Accounting Date)
Shows the starting date of the report (From Date) or first day of the
reporting period
Shows the end date of the report (Through Date) or the last day of
the reporting period
This is the Event Number that is being worked on for the Contract.
This number was auto assigned on the UM Reporting Plan page.
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UM Report Transaction Detail (Reporting Worksheet) page, Reporting Transaction Detail
Section (grid)
Field
Values Entered
Description
Hold for Future Report
(checkbox)
Value Varies
Transaction Date
Account
Default
Default
Analysis Type
Default
Transaction Number
Default
Description
Original Amount
Default
Default
Previously Reported
Default
Amount to Include
Defaults, but
updatable
Project Number
Default
Accounting Date
Default
Transaction From
Default
This field should be checked if the ENTIRE transaction should be
held for a future reporting period or is not allowable or allocable to
award
This is the date that the transaction/expense occurred
This is the accounting value assigned to the expense (i.e. 168001
equates to Equipment)
Analysis Types are assigned to individual transactions to aid in the
identification of what type of transaction it is such as payroll,
statuses and to tell the user where the transaction originated from.
This is the number that Project Costing assigns to the transaction
when it is cost collected. This number will aid in tracking an
expense back to its origin if needed.
This is the text description that is assigned to the Account number
This field represents the amount of the transaction/expense as it
was entered into the Financial System
This field states the amount of the original transaction that has been
included on previous financial reports
This field will default in as the remaining amount that is available to
include on the financial report. If the amount is to be split (again) the
user is able to type over the amount that was defaulted in
This field displays the Project ID that the transaction/expense hit the
ledger against
This is the date that the transaction was entered into Financial
System for posting
This field will display the Original Transaction Number. If the
contract calls for Rate Based (Cost Reimbursable) invoicing and a
transaction was split, on an invoice, the left over amount (2nd
transactions) will be assigned a new Transaction Number and the
Transaction From field will display the original Transaction Number.
If this same transaction were split for a 3rd time the New Transaction
Number assigned to the left over amount above (2 nd transaction)
would be populated in the 3rd transactions Transaction From field.
1. The user should analyze the transactions and select any that should be held for a future
financial report or removed from the Project.
2. The user should split any transactions that need to be split by overwriting the Amount to
Include field with the dollar amount that should be included in the financial report that is
being worked on.
3. Periodically through the analysis process the user should select the “Save” pushbutton
and also when the analysis is complete.
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UM Report Transaction Detail page additional features
 The Customize, Find and Export links and Icons can be used the same way that
were described in “Review Workbench for Reports Due” sub process of this
document.
 The First, Last and arrow links and pushbuttons can be used to navigate through a
transaction list that has too many transactions to fit on 1 display page.
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Draft/Proforma Process
This sub process will guide the user through the creation of the draft/proforma financial report,
the creation of the draft transaction report, approvals and Worksheet Updates. This is the
process of readying and reviewing the report prior to finalization and submission to the sponsor.
Portion of Business
Process Flow covered in
this section
Roles Applicable to this Process


SFR Accountant
SFR Acting Supervisor
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Create Proforma/Draft Report
Detailed description: After the Reporting Worksheet has been created and the transactions
analyzed a draft or proforma report will be created to verify accuracy prior to submission of the
final version to the sponsor.
Assumptions
 The Reporting Worksheet has been created
 All analysis of the Worksheet has been completed and changes have been saved
Navigation to this page can happen 1 of 2 ways. The first is by completing the steps in the
“Create Worksheet (UMFCA001)” and “Analyze Transactions” sub processes in this document.
If access to the page is required after those steps have been completed and the page has been
exited the user will need to follow the below navigation that will bring them directly to the page.
Navigation: Customer Contracts > Create and Amend > UM Report
Transaction Detail
The user will need to use the UM Report Transaction Detail search page to locate the
Transaction Detail page for the Contract that they are working with.
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1. The user will select the Create Proforma pushbutton; this will kick off the UMFCA00X
process. When the process has completed the following message will be brought to the
screen.
2. The user will now press the “OK” pushbutton in the message box. This will make the UM
Report Transaction Detail page fully visible again.
3. Select the “Process Monitor” link, this will bring the user to the Process List page
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4. Locate the most recent instance of Process Name UMFCA009 in the Process List.
5. Select the “Details” link at the end of the process row; this will bring the user to the
Process Details page.
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6. Select the “View Log/Trace” link on the Process Detail page this will bring the user to the
View Log/Trace page.
7. To continue with the merge of the data extract xml output with the template see
Appendix I.
8. After merge is complete and invoice is saved and printed, review the draft/proforma
invoice for accuracy.
a. If the draft report is correct;
i. If the report must be reviewed/approved by the academic department or the
users supervisor/trainer move on to section “Create Draft Transaction
Report” in this document (next section)
ii. If the report does not require review move on to the “Finalize a Report
process”
b. If the report needs to be reworked and can be corrected in the Reporting
Worksheet go back to the “Analyze Transactions” section of this document.
c. If the report needs to be reworked and the corrections can’t be made in the
Reporting Worksheet move forward to the “Delete a Worksheet” section of this
document
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Create Draft Transaction Report
Detailed description: After a draft/proforma report has been created often times the academic
department and/or the user’s supervisor/trainer will need to review the report for accuracy as
well. In this circumstance the Draft Report Transaction Summary Report will need to be created
to be forwarded as backup documentation with the draft report. The Draft Report Transaction
Summary Report is an itemized list of all transactions that were included on the report and those
that were not included.
Assumptions
 The Reporting Worksheet has been created
 All analysis of the Worksheet has been completed and changes have been saved
 The draft report has been created, reviewed for accuracy and determined to be
correct
 The UM Draft Rpt Trans Summary Rpt run control has already been established
Navigation: Grants > Interactive Reports > UM Draft Rpt Trans Summary Rpt
The user will have to use the UM_RUN_FCA0010 run control search page to pull up the run
control.
Draft Rpt Trans Summary Report run control page
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Draft Rpt Trans Summary Report run control page
Field
Values Entered
Business Unit
UMSPR
Contract Number
Value Varies
Description
This field tells the run control which Business Unit to look for
the Contract Number in. The U of M Standard for Business
Unit on sponsored activity will be UMSPR.
This field tells the run control which Contract to create the
report for. The field should be populated with the Contract
Number for which the proforma/draft report was completed for
in the previous section of this document.
1. Enter in the correct values on the run control page as described in the above table
2. Click on the “Run” pushbutton, this will bring the user to the Process Scheduler Request
page.
Process Scheduler Request page
Field Values and Descriptions for the Process Scheduler Request page
Field
Values Entered
Description
Server Name
PSUNX
Run Date
Default
Recurrence
<blank>
Run Time
Default
This field indicates the Server that the process should run on to
get the proper output. For this job the U of M Standard will be
PSUNX.
This field will assign the Date Run to the Process Instance. The
U of M Standard will be to accept the default value.
This field tells the system how often to run this process. This
field will only be used for batch processing. For Adhoc
processing The U of M Standard will be to leave this field
blank.
This field will assign the Time Run to the Process Instance. The
U of M Standard will be to accept the default value.
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Time Zone
<blank>
Select Checkbox for
Description “Draft
Report Trans
Summary Rpt”
Type
Web
Format
This field will assign the Time Zone to the Process Instance.
The U of M Standard will be to leave this field blank.
Selected/Checked The Select Checkbox is telling the Financial System which
process to run.
PDF
This field tells the Process what type the output will end up
being, options for selection are File, Printer and Web. The U of
M Standard for this process will be Web. If any other option
is chosen the report will not be created correctly.
The option chosen here directs the process as to what the final
format of the report will be; the selections available are HTM,
PDF, RTF and XLS. The U of M Standard for this process
will be PDF. If any other option is chosen the report will not
be created correctly.
3. Update the values on the Process Scheduler Request page according to the information
provided in the above table.
4. Select the “OK” pushbutton; this will kick of the process to create the Draft Report Trans
Summary report. The user will be brought back to the Draft Rpt Trans Summary Report
run control page.
Draft Rpt Trans Summary Report run control page
5. Select the “Process Monitor” link on the page. The user will the be brought to the
Process Monitor, Process List page
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Process Monitor, Process List page
6. Locate the most recent instance of Process Name “UMFCA010” that is shown in the
Process list.
7. Click the “Refresh” pushbutton on the page until the Statuses are updated to the following
values.
a. Run Status = Success
b. Distribution Status = Posted
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Navigation: Reporting Tools > Report Manager
1. Select the Administration Tab
2. Verify/Update the User ID field with your User ID
3. Click the “Refresh” pushbutton
4. Locate the most recent Description listed that states “UMFCA010 Draft rpt transaction
summary”, and select the link. The report will open in a new window as a PDF report.
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Draft Report Transaction Summary Report as PDF
5. Verify that the Total Included in Report matches the total amount of the draft/proforma
report
6. Print the report using the “Print” icon; keep this printed copy with the draft/proforma report
that was created.
7. Save the report to K:/EFS using the menu selection of; File > Save As
8. Determine the approval/review process that the draft report must go through.
a. If Supervisor/Trainer approval is required, bring the SFR file with the draft/proforma
report and Draft Report Transaction Summary Report to the individual for
review/approval
b. If Academic Department review/approval is required, electronically forward a copy
of the draft/proforma financial report and the Draft Report Transaction Summary
Report to the appropriate individuals in the academic department (i.e. department
accountant, principal investigator, etc.).
9. After all necessary reviews are completed and feed back received, determine the
following and proceed as required;
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a. If the draft report is correct and requires no updates move on to the “Finalize a
Report process”
b. If the report needs to be reworked and can be corrected in the Reporting
Worksheet go back to the “Analyze Transactions” section of this document.
c. If additional transactions need to be included on the report that have hit the ledger
since the Reporting Worksheet was created move forward to the “Update
Worksheet” section of this document (next section)/
d. If the report needs to be reworked and the corrections can’t be made in the
Reporting Worksheet move forward to the “Delete a Worksheet” section of this
document.
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Update Worksheet
Detailed description: There are times, after a draft report has been created, that it comes to
the attention of the SFR Accountant that additional transactions (i.e. HSA’s or late Subcontract
payments) have been processed since the Reporting Worksheet was created and must be
included in the report that is submitted to the sponsor. This process will show the user how to
add these transactions to the already created Reporting Worksheet for inclusion on the report.
Assumptions
 The Reporting Worksheet has been created
 All analysis of the Worksheet has been completed and changes have been saved
Navigation: Customer Contracts > Create and Amend > UM Report
Transaction Detail
The user will need to use the UM Report Transaction Detail search page to access the
appropriate Contract that needs to be updated with new transactions
1. Verify that the correct Contract’s Reporting Worksheet has been accessed
2. Make note of the number of transactions that are currently populated on the Reporting
Worksheet
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3. Select the “Update Worksheet” pushbutton; this will bring the user to the Update
Worksheet Process page. This page allows the user to enter a “Through Date” which
tells the process to only look at and pull the new transactions that have an Accounting
Date that is equal to or less than the entered date.
Update Worksheet Process page
Field Values and Descriptions for the Update Worksheet Process page
Field
Values
Description
Entered
Through Date
Value Varies
The date that is populated in this field will tell the process which
transactions to look at based on the Accounting Date. The
process will look at and pull all new transactions (not currently on
the Reporting Worksheet Page) that have an Accounting Date
that is less than or equal to the date that is populated in this field.
4. Select the “OK” pushbutton; this will kick off the Update Worksheet process. Once the
process has completed the user will be brought back to the Reporting Worksheet page.
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UM Report Transaction Detail page
5. Verify that the number of transactions being displayed on the page has increased. The
difference between the number verified in this step and that of the number noted in step 2
above will be equal to the number of transactions that was added to the Reporting
Worksheet for analysis. NOTE: If no additional transactions were appended to the
Reporting Worksheet it is possible that the date that was entered is incorrect.
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Delete a Worksheet (Cancel a Proforma/Draft) Report
Detailed description: Sometimes after a draft report is created it is discovered that the
financial report does not need to be submitted to the sponsor at this time as in the case of a no
cost extension request or that the corrections to the Reporting Worksheet are complicated and it
would be easier to start over. If these circumstances are encountered the UM Reporting
Transaction Detail/Reporting Worksheet can be deleted for the specific contract. This section
will take the user through the process of deleting the UM Report Transaction Detail/Reporting
Worksheet page.
Navigation: Customer Contracts > Create and Amend > UM Report
Transaction Detail
The user will need to use the UM Report Transaction Detail search page to access the
appropriate Contract that needs to have the Reporting Worksheet deleted
UM Report Transaction Detail/Reporting Worksheet page
Verify
1. Once the UM Report Transaction Detail page is accessed, verify that the correct
Contracts Reporting Worksheet has been called to the display.
2. Select the “Delete Worksheet” pushbutton, when the process has completed the page will
refresh and the detail will be removed from the page.
a. If the Reporting Worksheet is to be recreated go back to section “Create
Worksheet and Evaluate Transactions” of this document.
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b. If work on the report is going to be delayed for a period of time that will result in the
report being submitted to the sponsor (no cost extension request or other reason)
go back to section “SFR Reporting Workbench/Create a Reporting Submission
Status” of this document
c. If the schedule for submission has been change the UM Reporting Plan Events
must be updated. See document “Modify Award – Update Reporting Plan”
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Finalize a Report Process
This sub process will guide the user through the finalization of a financial report. This is the
process of writing the financial report data to the history tables and creating the “official” version
of the financial report for submission to the sponsor. It will also detail out the steps for creating
the Final Report Summary Transaction Detail Report and for voiding a report.
Portion of Business
Process Flow covered in
this section
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Roles Applicable to this Process

SFR Accountant
Finalize a Report
Detailed description: The Finalize a Report process is the final step that is executed to ready
the data for financial report submission to the sponsor. This process writes the records/data to
the reporting history table, it will clear the temporary tables and updates the Reporting Event’s
Status to “completed” so it will no longer appear on the Reporting Workbench.
Assumptions
 The Reporting Worksheet has been created
 All analysis of the Worksheet has been completed and changes have been saved
 All necessary approvals of the draft/proforma financial report have been received
Navigation: Customer Contracts > Create and Amend > UM Report
Transaction Detail
UM Report Transaction Detail/Reporting Worksheet page
Step 4
below
1. Select the “Finalize Report” pushbutton; this will kick off the finalization process.
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2. A pop up message will be received that states “Process ended successfully for Finalize
Report having process instance 27800 (10640,23)”.
3. Click “Ok” in the pop up window, the pop up will then be removed from the page display.
4. Select the “Process Monitor” link on the UM Report Transaction Detail page, this will bring
the user to the Process Monitor, Process List page.
Process Monitor, Process List page
5. Locate the most recent UMFCA009 process that is running.
6. Click the refresh pushbutton until;
a. Run Status = Success
b. Distribution Status = Posted
7. Select the “Details” link at the end of the process instance row; this will bring the user to
the Process Monitor, Process Detail Page.
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Process Monitor, Process Detail page
8. Select the “View Log/Trace” link; this will bring the user to the View Log/Trace page.
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9. To continue with the merge of the data extract xml output with the template see
Appendix I.
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Create Final Transaction Report
Detailed description: After a financial report has been finalized a report is created that will
document the transactions that were included in the report of expenditures that was submitted to
the sponsor. A copy of this report is kept with the financial report in the SFR file and a copy is
forwarded to the Academic Department with their copy of the financial report. On occasion, the
sponsoring agency may require a copy of this report as well. The report can be run at any time
after the financial report has been finalized.
Assumptions
 The financial report of expenditures has been finalized
 The run control for the UM Trans Detail by Rpt number has been established
Navigation: Grants > Interactive Reports > UM Trans Detail by Rpt number
UM Trans Detail by Rpt number run control page
Field Values and Descriptions for the UM Trans Detail by Rpt Number run control
Field
Values
Entered
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Language
English
Business Unit
UMSPR
Contract Number
Value Varies
Report Number
Value Varies
This field gives the user the option of what language to run the
report in. The U of M Standard will be English.
This field tells the process which Business Unit within the system
to look for the data. The U of M Standard for sponsored
activity will be UMSPR.
This field gives the process which contract number to look for the
data in. The user will populate this field with the contract number
that the report was finalized on.
This is the system assigned number given to the financial report,
it can be located in the upper right hand corner of the financial
report or on the UM Report Plan page on the event row that was
finalized for the contract (see below screen shot).
UM Reporting Plan (Report Number location example)
Navigation: Customer Contracts > Create and Amend > UM Reporting Plan
1. Populate the fields on the UM Trans Detail by Rpt Number run control page
2. Select the “Run” pushbutton; this will bring the user to the Process Scheduler Request
page.
Process Scheduler Request page
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Field Values and Descriptions for the Process Scheduler Request page
Field
Values Entered
Description
Server Name
Run Date
Recurrence
Run Time
Time Zone
Select Checkbox for
Description
“UMFPC”
Type
Format
PSUNX
This field indicates the Server that the process should run on to
get the proper output. For this job the U of M Standard will be
PSUNX.
This field will assign the Date Run to the Process Instance. The
Default
U of M Standard will be to accept the default value.
<blank>
This field tells the system how often to run this process. This
field will only be used for batch processing. For Adhoc
processing The U of M Standard will be to leave this field
blank.
This field will assign the Time Run to the Process Instance. The
Default
U of M Standard will be to accept the default value.
<blank>
This field will assign the Time Zone to the Process Instance.
The U of M Standard will be to leave this field blank.
Selected/Checked The Select Checkbox is telling the Financial System which
process to run.
Web
PDF
This field tells the Process what type the output will end up
being, options for selection are File, Printer and Web. The U of
M Standard for this process will be Web. If any other option
is chosen the report will not be created correctly.
The option chosen here directs the process as to what the final
format of the report will be; the selections available are HTM,
PDF, RTF and XLS. The U of M Standard for this process
will be PDF. If any other option is chosen the report will not
be created correctly.
3. Verify/update the values on the Process Scheduler Request page.
4. Select the “OK” pushbutton, this will kick off the process and bring the user back to the UM
Trans Detail by Rpt Number run control page.
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UM Trans Detail by Rpt Number run control page
5. Click on the “Process Monitor” link, this will bring the user to the Process Monitor, Process
List page.
Process Monitor, Process List page
6. Click the “Refresh” pushbutton until;
a. Run Status = Success
b. Distribution Status = Posted
7. Navigate to the Report Manager
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Navigation: Reporting Tools > Report Manager
Report Manager, List page
8. Select the “Administration” tab.
Report Manager, Administration page
9. Locate the most recent process instance for Process “UMFPC001 Exp Activity by Cont &
Rep ID” that has a status of Posted.
10. Select the Description link; this will open the report in a new window.
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11. Print a copy of the report to be attached to the SFR copy of the financial report
12. Save a copy of the report to K:\\
13. Complete the manual process to forward the financial report to the sponsor
14. Electronically send a copy of the financial report and Transaction Detail by Report Number
report to the Academic Department for their records.
Void a Finalized Report
Detailed description: Sometimes after a financial report of expenditures has been finalized it is
found that there is an error on the report or that for some reason it should not be submitted to
the sponsor at that particular time. In these cases the financial report will have to be voided.
This process will take the user through the steps of voiding a report.
Assumptions
 The financial report of expenditures has been finalized
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Navigation: Customer Contracts > Create and Amend > UM Reporting Plan
The user will have to use the UM Reporting Plan search page to access the UM Reporting Plan
page for the contract that has a financial report that must be voided.
UM Reporting Plan page
1. Verify that the correct Reporting Plan page has been called
2. Locate the Event Number row for the financial report that must be voided (use report
number or End Date)
3. Verify that the Event Status is “Completed”
4. Select the “Void Report” pushbutton; this will bring the user to a confirmation page. The
message will ask “Do you really want to void this report? (21600,5)
Void Report Confirmation page
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5. Click the “Yes” pushbutton on the page, this will bring the user back to the UM Reporting
Plan page
UM Reporting Plan page
6. Verify;
a. Event Status = Report Voided
b. Report Number = <blank>
7. If the report was in error and needs to be re-created right away go back to the “Create
Worksheet and Evaluate Transactions” process of this document. If the reporting event
needs to be updated before recreation, will be created at another time or not at all
continue on with the next steps.
8. If the report will be recreated immediately or at a later date and the Reporting Event
requires updating with a new start, end date or the final check box change;
a. Click on the drop down in the Processing Status field for the event that was voided
and select “Pending”. This will open up the Start Date, End Date and Final check
box for editing. Make the necessary changes to the required fields, save the
updates and change the Processing Status back to “Ready”. NOTE: Remember
to add a Report Submission Status if the report will be submitted to the sponsor
after the due date, See section “SFR Reporting Workbench – Establish a Report
Submission Status” of this document.
b. Update all future reporting events so event Start and End Dates are not
overlapping.
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9. If the report will not be re-created because the award does not call for financial reporting,
the Reporting Frequency must be changed to “No Reporting Required” so events will not
show up on the Reporting Workbench.
a. Change all Processing Status on all future Reporting Events that are currently in a
Ready status to “Pending” by selecting the drop down on the field.
b. Delete the Reporting Events by selecting the “-/minus” pushbutton at the end of
each Reporting Event that has a status of Pending for both the Event and
Processing Status. NOTE: The system will not allow you to delete an event that
has an Event Status that is anything other than Pending.
c. Change the Reporting Frequency to “No Reporting Required” by selecting the drop
down on the field. NOTE: The system will not allow the Reporting Frequency to
be equal to No Reporting Required if there are any events established that have
an Event Status that is equal to anything other than “Report Voided”.
d. Delete the Report Form ID that is assigned to the Reporting Plan by highlighting
the field contents and selecting the Delete button on the keyboard
10. Save all updates made to the Reporting Plan before exiting the page by selecting the
“Save” pushbutton
PROCESS END
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