Tips:

SC016 Open Encumbrance Report Explanation

The SC016 Open Encumbrance Report lists pending financial commitments (encumbrances) associated with purchase orders. Encumbrances are included in budget balance calculations until the purchase is completed or canceled.

How are funds encumbered?

As context for the report, below is a summary of the process by which funds are encumbered during purchasing.

  1. A Requisition is entered. The budget checking process creates a pre-encumbrance on the chart string.
  2. A Purchase Order is created after all approvals are applied. The budget checking process relieves the pre-encumbrance on the chart string and creates an encumbrance.
  3. A Voucher is entered based on the invoice from the vendor. The budget checking process relieves the encumbrance on the chart string and creates an expense entry.

Navigate to the report

From the Cognos BI Welcome page, click My Home > Public Folders > Finance Facilities and Research Administration > School > Supply Chain.

Complete the prompt page

#

Prompt

Action

1 Budget FY If you are prompted, select the open fiscal year for which you want to inquire.
2 Next Click Next.
  Fund Required Select a 3-digit fund. Multiple values are possible.
3

Department, Project, Account

According to your needs, enter a 7-digit Department ID, 8-digit Project ID, or 5-diget Account number. Multiple values are possible.

4

Finish

Click Finish. Result the report is downloaded to your computer in PDF format. Find the report in the Downloads folder of your PC.

Interpret the report

In combination, the last three columns on the report indicate the progress of each purchase toward completion. They indicate missing documents and match exceptions that prevent completion. A purchase is complete when (1) the order is received and a payment is issued to the vendor, or (2) the purchase is canceled.

  1. Receiver Status. This column indicates if any or all receipts were entered for a purchase order line. There are three possible receiver statuses PO Not Received, PO Partially Received, and PO Fully Received.
  2. Voucher ID/Voucher Budget Status. This column indicates if a voucher was entered by AP and/or budget checked. There are three possible statuses Blank, voucher ID # and Valid Budget Check, and voucher ID # and Not Budget Checked.
  3. Match Status. This column indicates if matching of required documents has taken place and was successful (For non-catalog PO, Voucher and Receipt, For catalog PO and Voucher). There are three possible statuses Matched, Partially Matched, Not Matched.

For each combination of statuses in the columns, this job aid explains the issue and the next steps to resolve the issue or complete the order. Further research or action may be necessary.

Receiver Status is PO Not Received

Receiver Status

Voucher ID / Voucher
Budget Status*

Match Status

Possible Actions

PO Not Received

Receipt has not yet been entered by the Requester or person responsible for receiving goods on behalf of the Requester.

Blank

(Voucher was not entered in NUFinancials)

Not Matched

This indicates that the Voucher, Receipt, and PO have not been matched in accordance with a three-way match.

Enter receipt, making certain to apply them to the correct PO Line.

PO Not Received

Receipt has not yet been entered by the Requester or person responsible for receiving goods on behalf of the Requester.

Voucher ID and Valid Budget Check

Voucher (Invoice) was entered and successfully Budget Checked. Invoice was entered by AP.

Partially Matched

There are several item categories that do not require receiving. List can be found on the FFRA website Resources> Tips & Tricks> Receivers> Categories Not Requiring Receiving

No user action required.

  • Blanket requisitions with non-receiving categories are an example.

PO Not Received

A Receipt has not yet been entered by the Requester or person responsible for receiving goods on behalf of the Requester.

Voucher ID and Valid Budget Check

Voucher (Invoice) was entered and successfully Budget Checked. Invoice was entered by AP before Receipt was entered.

Not Matched

This indicates that the Voucher, Receipt, and PO have not been matched in accordance with a three-way match.

If PO Not Received, a receipt is needed for non-catalog POs.

Enter receipt for non-catalog POs.

  • Catalog POs (from iBuyNU) do not require receiving and require a two-way match between PO and Voucher.
  • They commonly appear on this report as PO Not Received, Voucher ID Budget Checked/Not Budget Checked, and Not Matched.
  • They fall off the report after they are closed by the PO Reconciliation process.

Receiver Status is PO Partially Received

Receiver Status

Voucher ID/Voucher
Budget Status*

Match Status

Possible Actions

PO Partially Received

Receipt was entered for part of the order such as partial quantity or partial amount.

Blank

(Voucher was not entered in NUFinancials)

Not Matched

This indicates that the Voucher, Receipt, and PO have not been matched in accordance with a three-way match.

If PO is Partially Received and no Voucher exists, an Invoice is needed.

Enter receipt for lines that have not yet been received, for remaining quantity on lines that have already been partially received, and for remaining amounts on Amount Only POs.

PO Partially Received

Receipt was entered for part of the order such as partial quantity or partial amount.

Voucher ID and Valid Budget Check

A Voucher (Invoice) was entered and successfully Budget Checked.

Partially Matched

PO, Receipt, and Voucher were partially matched for the quantity and amount received and invoiced.

When you receive the remaining goods, or when a new invoice is applied to an Amount Only PO, you must enter a new receipt, making certain to apply the receipt to the correct PO lines.

 


Receiver Status is PO Fully Received

Receiver Status Voucher ID / Voucher Budget Status Match Status Possible Actions

PO Fully Received

Receipt was entered for every line on order (such as full quantity or full amount).

Blank

(Voucher was not entered in NUFinancials)

Not Matched

This indicates that the Voucher, Receipt, and PO have not been matched in accordance with a three-way match.

If PO was Fully Received and no Voucher exists, an Invoice needed.

If the PO was fully received and no voucher was entered, you can contact the Vendor and request an invoice to be sent to AP or contact AP to inquire if they received the invoice.

PO Fully Received

Receipt was entered for every line on order (such as full quantity or full amount).

Voucher ID and Valid Budget Check

Voucher (Invoice) was entered and successfully Budget Checked.

Matched

PO, Receipt, and Voucher were fully/successfully matched. Encumbrance will be relieved once PO is Closed.

No action required.

POs in this combination of statuses appear on report until the PO Reconciliation process closes the PO. This happens on a 30-day rolling basis. POs are closed 30 days after final activity occurs.

PO Fully Received

Receipt was entered for every line on order (such as full quantity or full amount).

Voucher ID and Valid Budget Check

Voucher (Invoice) was entered and successfully Budget Checked.

Partially Matched

PO and Receipt are matched, but Voucher may not be for full amount.

You may want to review invoice to understand why the amount was not fully matched.

  • This may happen if you receive the full amount even though only part of the order was delivered.
  • Vendors may generate individual invoices for each shipment (only part of the purchase order).

PO Fully Received

Receipt was entered for every line on order (such as full quantity or full amount).

Voucher ID and Valid Budget Check

Voucher (Invoice) was entered and successfully Budget Checked.

Not Matched

In a multi-lined PO, some lines can be matched and closed while other lines are still open or not matched.

Voucher (Invoice) was entered and successfully Budget Checked, but there may be errors on the invoice, or it was not applied to the correct PO Line.

You can review how invoices were applied to PO by going to Purchasing > Purchase Orders > Review PO Information > Purchase Orders > Activity Summary > Invoices.

*If a Voucher ID appears with a Budget Check status of "Not Budget Checked" in the Voucher ID/Voucher Budget Status column, this simply means that at the time of the report run, the voucher has not yet been budget checked.