USDA DATA Act File A Standard Operating Procedure...directly from GTAS into the USDA DATA Act...

DATA Act File A

Standard Operating Procedure

April 9, 2018

Table of Contents Previous Change History .............................................................................................................................. v 1. Introduction ............................................................................................................................................... 1 2. File A Reporting Requirements ................................................................................................................. 2

2.1 Data Elements ..................................................................................................................................... 2 2.2 Reference Data for Validation or Derivation ........................................................................................ 4

3. File A Reporting Process .......................................................................................................................... 5 3.1 File A Data Process ............................................................................................................................. 5

3.1.1 GTAS Extractions ......................................................................................................................... 5 3.1.2 OCFO FMMI Dropbox ................................................................................................................. 12 3.1.3 USDA DATA Act Repository ....................................................................................................... 13 3.1.4 Error Handling and Certification .................................................................................................. 23 3.1.5 DABS Submission....................................................................................................................... 36 3.1.6 Assurance ................................................................................................................................... 48 3.1.7 Certification ................................................................................................................................. 49

Appendix A: Legislation, Guidance, and Tools ........................................................................................... 50 Appendix B: FMMI Dropbox FileZilla Submission Instructions ................................................................... 51 Appendix C: FMMI Dropbox WinSCP Submission Instructions .................................................................. 54 Appendix D: Acronym List ........................................................................................................................... 57

Table of Figures Figure 1: USDA DATA Act File A Systems Process Map ............................................................................ 5 Figure 2: GTAS Login Page ......................................................................................................................... 6 Figure 3: GTAS Home Page ........................................................................................................................ 6 Figure 4: GTAS REPORTS Page ................................................................................................................ 7 Figure 5: GTAS Report Parameters ............................................................................................................. 7 Figure 6: GTAS SF-133 Report Details ....................................................................................................... 8 Figure 7: GTAS My Reports - Status ........................................................................................................... 8 Figure 8: GTAS My Reports - Format .......................................................................................................... 8 Figure 9: SF-133 Report - Save in Microsoft Excel ..................................................................................... 9 Figure 10: SF-133 Report File Microsoft Excel Warning Message .............................................................. 9 Figure 11: SF-133 Report File - SF-133 Detail Worksheet ........................................................................ 10 Figure 12: SF-133 Report File - Save in Formatted Text ........................................................................... 10 Figure 13: SF-133 Report File - Formatted Text Warning Message.......................................................... 10 Figure 14: SF-133 Report File - Open in Notepad ..................................................................................... 11 Figure 15: SF-133 Report File - Save in Text Format ................................................................................ 11 Figure 16: BW Server Confirmation Email ................................................................................................. 13 Figure 17: Check the Directory for the SF-133 File ................................................................................... 14 Figure 18: Process Chain Display - Confirm SF-133 File Completed ....................................................... 15 Figure 19: Process Chain Display - Right-click System Command ........................................................... 16 Figure 20: Displaying Message .................................................................................................................. 17 Figure 21: SAP HANA Studio - Execute .................................................................................................... 18 Figure 22: SAP HANA Studio - Confirm SF-133 File ................................................................................. 19

DATA Act File A SOP iii

Figure 23: Confirm Files A-C Inbound Files are in the Directory ............................................................... 20 Figure 24: Start the Process Chain ............................................................................................................ 20 Figure 25: Process Chain - Confirm Files Have Run ................................................................................. 21 Figure 26: Process the File A ..................................................................................................................... 22 Figure 27: USDA Error Handling Process - Navigate to DATA Act ........................................................... 23 Figure 28: USDA Error Handling Process - Right-click on DATA Act File A Error Report ........................ 24 Figure 29: USDA Error Handling Process - Select Prompts ...................................................................... 24 Figure 30: USDA Error Handling Process - Click the Export Icon ............................................................. 25 Figure 31: USDA Error Handling Process - Export Document .................................................................. 25 Figure 32: USDA Error Handling Process - Save Error Report ................................................................. 25 Figure 33: USDA Error Handling Process - Download Has Completed .................................................... 25 Figure 34: USDA Error Handling Process - Downloads Folder ................................................................. 26 Figure 35: USDA Error Handling Process - Close the File A Error Report ................................................ 26 Figure 36: USDA Error Handling Process - Right-click on DATA Act File A Error Report Publication ...... 27 Figure 37: USDA Error Handling Process - DATA Act File A Error Report Publication............................. 27 Figure 38: USDA DATA Act File A Error Report Notification ..................................................................... 28 Figure 39: USDA DATA Act File A Certification Report Notification .......................................................... 29 Figure 40: FSSP Clients Error Handling Process - Navigate to DATA Act ................................................ 30 Figure 41: FSSP Clients Error Handling Process - Right-click on DATA Act File A Error Report Publication ................................................................................................................................................... 30 Figure 42: FSSP Clients Certification Process - Click Prompts ................................................................. 31 Figure 43: FSSP Clients Error Handling Process - Click Modify ............................................................... 31 Figure 44: FSSP Clients Error Handling Process - Select the Agency Code ............................................ 32 Figure 45: FSSP Clients Error Handling Process - Select the Fiscal Period ............................................. 32 Figure 46: FSSP Clients Error Handling Process - Select Business Area ................................................ 33 Figure 47: FSSP Clients Error Handling Process - View Prompt Responses ........................................... 33 Figure 48: FSSP Clients Error Handling Process - Click Dynamic Recipients .......................................... 34 Figure 49: FSSP Clients Error Handling Process - De-select the Current Business Partner .................... 34 Figure 50: FSSP Clients Error Handling Process - Click Schedule ........................................................... 35 Figure 51: Process Chain - Error-free Data ............................................................................................... 36 Figure 52: OCFO Shared Directory ........................................................................................................... 37 Figure 53: DATA Act Broker Home Page .................................................................................................. 38 Figure 54: Select the DATA Act Broker Submission .................................................................................. 38 Figure 55: Select Upload and Validate a New Submission ....................................................................... 39 Figure 56: Four Steps to Upload & Validate .............................................................................................. 40 Figure 57: Upload & Validate - Submission Info Screen ............................................................................ 41 Figure 58: Upload Files to DABS ............................................................................................................... 41 Figure 59: Warning and Errors ................................................................................................................... 42 Figure 60: Option to Generate the Files D1 and D2 .................................................................................. 43 Figure 61: DABS File A and B Validation ................................................................................................... 44 Figure 62: Files E and F are Generated .................................................................................................... 45 Figure 63: Confirmation of data being successfully validated in DABS ..................................................... 46 Figure 64: Select the File A Certifier .......................................................................................................... 47 Figure 66: Assurance Request Email Example ......................................................................................... 48 Figure 65: Certification Request Email Example ....................................................................................... 49

DATA Act File A SOP iv

Figure 67: FileZilla Home Screen .............................................................................................................. 51 Figure 68: FileZilla Site Manager ............................................................................................................... 52 Figure 69: FileZilla FMMI Dropbox ............................................................................................................. 52 Figure 70: WinSCP Home Page ................................................................................................................ 54 Figure 71: WinSCP Home Page Example ................................................................................................. 55 Figure 72: WinSCP Login ........................................................................................................................... 56 Figure 73: WinSCP FMMI Dropbox ........................................................................................................... 56

Table of Tables Table 1: File A, Appropriations Account Detail Report Data Elements ........................................................ 2 Table 2: Statement Schema Mapping ........................................................................................................ 22

DATA Act File A SOP v

Previous Change History Maintain document history as revisions are made and the final version is agreed upon.

Version Date Author Comment 1 3/19/2018 Deloitte Initial draft version

2 4/02/2018 Deloitte

Updated overall document based on TARD comments received on 3/22/2018 Added screenshots to Section 3.1

3 4/09/2018 Deloitte Updated overall document based on TARD comments received on 4/05/2018

4 2/07/2019 Fransi Dunagan Revised for DATA Act Resources Web Page

DATA Act File A SOP 1

1. Introduction Per the Inspectors General Guide to Compliance Under the DATA Act report, all Federal Agencies should document an understanding of their systems, processes, and internal controls that have been put into place to adhere to the Digital Accountability and Transparency Act of 2014 (DATA Act). This document, the DATA Act File A Standard Operating Procedure (SOP), is meant to provide that understanding for the U.S. Department of Agriculture’s (USDA) File A, Appropriations Account Detail report. The File A SOP will provide USDA agencies with an overview of the File A reporting requirements and process. This document will act as a guide and manual to USDA agencies for how the File A is compiled and processed utilizing Office of Management and Budget (OMB), the Department of the Treasury (Treasury), and USDA guidance for the DATA Act.

This is a living document and serves as a reference to USDA agencies for the latest reporting requirements to ensure DATA Act compliance for the File A report. Any new USDA and/or Federal requirements will be added to this document as they are released. This document includes links to legislative guidance within each section and an appendix, Appendix A: Legislation, Guidance, and Tools, where referenced links and additional helpful documents can be found.

https://www.treasury.gov/about/organizational-structure/ig/Audit%20Reports%20and%20Testimonies/OIG-CA-17-012.pdf

https://www.gpo.gov/fdsys/pkg/PLAW-113publ101/pdf/PLAW-113publ101.pdf


2. File A Reporting Requirements The DATA Act File A, Appropriations Account Detail report is generated monthly according to the Governmentwide Treasury Account Symbol Adjusted Trial Balance System (GTAS) timelines for agency review and submitted to Treasury quarterly. It is created based on the SF-133 data and is extracted directly from GTAS into the USDA DATA Act Repository (SAP HANA) (Repository) via the File Transfer Protocol (FTP) Financial Management Modernization Initiative (FMMI) Dropbox and the BW Server (SAP Business Intelligence (BI)). This same process takes place for all USDA agencies (FMMI users and non-FMMI users) and Federal Shared Service Provider (FSSP) clients. The data is then submitted to the DATA Act Broker Submission (DABS) system using Treasury’s DATA Act Information Model Schema (DAIMS) Reporting Submission Specification (RSS) schema each quarter. This file’s Treasury Account Symbol (TAS) components should balance with the SF-133. The TAS components in File A should exist in File B and vice versa.

2.1 Data Elements In order to create data standardization across all of the Federal agencies, the DATA Act required Treasury and OMB to develop uniform data element definitions and schemas for data to be extracted and submitted among various Treasury and Federal agency systems. The developed File A data elements and definitions have been outlined in the table below:

Table 1: File A, Appropriations Account Detail Report Data Elements Element

Order Data Element

Label Definition

01 Allocation Transfer Agency Identifier

The allocation agency identifies the department or agency that is receiving funds through an allocation (non-expenditure) transfer.

02 Agency Identifier The agency code identifies the department or agency that is responsible for the account.

03 Beginning Period Of Availability

In annual and multi-year funds, the beginning period of availability identifies the first year of availability under law that an appropriation account may incur new obligations.

04 Ending Period Of Availability

In annual and multi-year funds, the end period of availability identifies the last year of funds availability under law that an appropriation account may incur new obligations.

05 Availability Type Code In appropriations accounts, the availability type code identifies an unlimited period to incur new obligations; this is denoted by the letter "X".

06 Main Account Code The main account code identifies the account in statute.

07 Sub Account Code This is a component of the TAS. Identifies a Treasury-defined subdivision of the main account. This field cannot be blank. Subaccount 000 indicates the Parent account.

08 Total Budgetary Resources - Current Period End (CPE)

Budgetary resources mean amounts available to incur obligations in a given year. Budgetary resources consist of new budget authority and unobligated balances of budget authority provided in previous years.

09 Budget Authority Appropriated Amount -CPE

The definition for this element appears in Appendix F of OMB Circular A-11, summarized as:

Appropriation means a provision of law (not necessarily in an appropriations act) authorizing the expenditure of funds for a given purpose. Usually, but not always, an appropriation provides budget authority.

https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/assets/a11_current_year/s130.pdf



Element Order

Data Element Label

Definition

10 Budget Authority Unobligated Balance Brought Forward - Fiscal Year Begin (FYB)


For unexpired accounts: Amount of unobligated balance of appropriations or other budgetary resources carried forward from the preceding year and available for obligation without new action by Congress.

For expired accounts: Amount of expired unobligated balances available for upward adjustments of obligations.

11 Adjustments To Unobligated Balance Brought Forward - CPE


Changes to unpaid obligations that occurred in a prior fiscal year and that were not recorded in the unpaid obligations as of October 1 of the current fiscal year.

12 Other Budgetary Resources Amount - CPE


New borrowing authority, contract authority, and spending authority from offsetting collections provided by Congress in an appropriations act or other legislation, or unobligated balances of budgetary resources made available in previous legislation, to incur obligations and to make outlays.

13 Contract Authority Amount Total - CPE


Contract authority is a type of budget authority that permits you to incur obligations in advance of an appropriation, offsetting collections, or receipts to make outlays to liquidate the obligations. Typically, the Congress provides contract authority in an authorizing statute to allow you to incur obligations in anticipation of the collection of receipts or offsetting collections that will be used to liquidate the obligations.

14 Borrowing Authority Amount Total - CPE


Borrowing authority is a type of budget authority that permits obligations and outlays to be financed by borrowing.

15 Spending Authority From Offsetting Collections Amount Total - CPE


Spending authority from offsetting collections is a type of budget authority that permits obligations and outlays to be financed by offsetting collections. Offsetting collections mean payments to the Government that, by law, are credited directly to expenditure accounts and deducted from gross budget authority and outlays of the expenditure account, rather than added to receipts. Usually, they are authorized to be spent for the purposes of the account without further action by Congress. They usually result from business-like transactions with the public, including payments from the public in exchange for goods and services, reimbursements for damages, and gifts or donations of money to the Government and from intragovernmental transactions


Element Order

Data Element Label

Definition

with other Government accounts. The authority to spend offsetting collections is a form of budget authority.

16 Status Of Budgetary Resources Total - CPE

This element addresses the status of budgetary resources and includes the total of obligated and unobligated balances, at the reported date. The value should equal the Budget Authority Available Amount Total for the TAS at Current Period End.

17 Obligations Incurred Total By TAS - CPE


For unexpired accounts: Amount of obligations incurred from the beginning of the current fiscal year to the end of the reporting period, net of refunds received that pertain to obligations incurred in the current year. Include upward adjustments of prior obligations. For expired accounts: Amount of upward adjustments of obligations previously incurred. Upward adjustments are limited by the amount available for adjustments. No new obligations may be incurred against expired or canceled accounts.

18 Gross Outlay Amount By TAS - CPE


Payments made to liquidate an obligation (other than the repayment of debt principal or other disbursements that are “means of financing” transactions). Outlays generally are equal to cash disbursements but also are recorded for cash-equivalent transactions, such as the issuance of debentures to pay insurance claims, and in a few cases are recorded on an accrual basis such as interest on public issues of the public debt. Outlays are the measure of Government spending.

19 Unobligated Balance - CPE


Unobligated balance means the cumulative amount of budget authority that remains available for obligation under law in unexpired accounts. The term “expired balances available for adjustment only” refers to unobligated amounts in expired accounts.

20 Deobligations Recoveries Refunds By TAS - CPE

The amount of downward adjustments to obligations and outlays resulting from deobligations, recoveries, or refunds collected, summarized at the TAS level. The adjustments are to the obligations and outlays which were made in a prior year.

For a detailed list of the File A data elements, see the DAIMS RSS version 1.2 file located in Appendix A: Legislation, Guidance, and Tools.

2.2 Reference Data for Validation or Derivation Based on federal DATA Act validation rules, the Repository runs its own validation on the File A data extracted from GTAS. Please refer to the USDA OCFO Error Codes for DATA Act Files A, B, & C file in Appendix A: Legislation, Guidance, and Tools, to see a complete list of the Office of the Chief Financial Officer (OCFO) USDA validation rules for the File A that is processed through the Repository.


3. File A Reporting Process The following diagram is a high-level overview of the USDA DATA Act File A process. It describes the flow of information for USDA agencies (FMMI users and non-FMMI users) and FSSP clients beginning with the extraction of data from GTAS through the consolidation of data in the Repository and the data submission to Treasury’s DABS portal.

Figure 1: USDA DATA Act File A Systems Process Map

3.1 File A Data Process The following steps are meant to take a user through the File A Process, as referenced in the above figure. Each step will include a description and directions to demonstrate the activities taking place throughout the File A process.

This section describes the internal processes that OCFO’s Financial Management Service (FMS) team follow to create File A on behalf of USDA Agencies and FSSP Clients.

3.1.1 GTAS Extractions On the 20th of each month, a bulk file is extracted from GTAS containing the SF-133 report data, for all USDA Agencies (FMMI and non-FMMI agencies) and FSSP clients1. The OCFO External Services Branch (ESB) team is responsible for pulling the USDA bulk files. The ESB team member who extracts those bulk files must have access to all of USDA’s TAS. The Pegasys Financial Services, Technical Services Division team is responsible for pulling the FSSP client files.

One bulk flat file will be extracted for USDA. A separate file is pulled for each FSSP client. It is important to note that when a new FSSP client is added to the Repository, two files must be added at the same time. One for the last period of the previous fiscal year and one for the current reporting period of the current fiscal year data. Moving forward, the past fiscal year data will live in the Repository and will automatically be used in future reports.

1 One bulk flat file will be extracted for USDA. A separate file is pulled for each FSSP client.



1. Go to the GTAS homepage and login:

Figure 2: GTAS Login Page

2. At the GTAS home screen, click on the REPORTS tab at the top of the page.

Figure 3: GTAS Home Page

https://www.gtas.fms.treas.gov/gtas/Welcome.action


3. Once on the REPORTs page, click on Statements in the menu on the left.

Figure 4: GTAS REPORTS Page

4. Select the SF-133 from the Report Name dropdown menu.

Figure 5: GTAS Report Parameters


5. Select the Fiscal Year, Period, Statement, Run By and Agency Identifier. Once your selections are made, click Run Report.

Figure 6: GTAS SF-133 Report Details

6. The My Reports screen will appear, showing the status of your report.

Figure 7: GTAS My Reports - Status

7. The Status will change to Complete when the report is ready for download. Click on XLS in the

Format column to download the report.

Figure 8: GTAS My Reports - Format


8. Save the file to a folder of your choosing and save the file using the naming convention SF133_<Month>_FY<YYYYY>.xls.

Figure 9: SF-133 Report - Save in Microsoft Excel

9. Go to the location you saved the file and open it with Microsoft Excel. You will get this message

when the file is opening. Just click on Yes.

Figure 10: SF-133 Report File Microsoft Excel Warning Message


10. When the file opens, click on the SF133 Detail tab at the bottom of the worksheet.

Figure 11: SF-133 Report File - SF-133 Detail Worksheet

11. Now click on File, Save As and change the file type to .prn, which is Formatted Text (Space

delimited). Now click on Save.

Figure 12: SF-133 Report File - Save in Formatted Text

12. The following message window will pop up, click OK.

Figure 13: SF-133 Report File - Formatted Text Warning Message


13. Go to the location you saved the file and open it using Notepad.

Figure 14: SF-133 Report File - Open in Notepad

14. Now save the file as a .txt by clicking on File, Save As. Click on Save and now the file is ready to

be placed on the Production BI server to be processed. The file is placed in the /sapmnt/PB7/EAIData/INT/DATA_ACT/OTHER/inbound directory.

Figure 15: SF-133 Report File - Save in Text Format


3.1.2 OCFO FMMI Dropbox Once the SF-133 data has been extracted from GTAS for both USDA agencies and FSSP clients, the bulk file is submitted to the FMMI Dropbox via FTP. Instructions for the FMMI Dropbox file preparation are described below:

1. Define your DATA Act Point of Contact (POC) and make sure the POC has access to the Data Act mailbox established for your agency. This will ensure that your agency is able to receive error handling report information timely.

a. Configure your Dropbox to push the files to the FMS server.

b. Contact the FMMI Interface (Process Integration) Team at [email protected] (current POC, Larry Bounds at [email protected]) for assistance with setting up your Dropbox connection to push file to FMS.

2. Ensure correct naming convention SF133_<999>_<YYYYPP>.txt is used when submitting your flat files on FMMI Dropbox, e.g. SF133_012_201709.txt where ‘012’ is the agency ID and 201709 is the FY and period for which file is generated.

There are 2 options available to submit your flat files to the FMMI Dropbox, FileZilla or WinSCP. Detailed instructions for each option can be found in Appendix B: FMMI Dropbox FileZilla Submission Instructions or Appendix C: FMMI Dropbox WinSCP Submission Instructions.


mailto:[email protected]



3.1.3 USDA DATA Act Repository As soon as the SF-133 flat file is downloaded to the FMMI Dropbox, the system automatically pulls the data from the Dropbox to the BW Server and generates an email notification that is sent to the OCFO BI team. The BI team initiates the next process, moving the data from the BW Server to the Repository. A manual validation is performed to ensure that the data is for the correct time frame as described below.

Figure 16: BW Server Confirmation Email



1. Confirm SF-133 report file(s) in the directory.

a. In SAP GUI of PB7 system - Go to T-Code AL11 (Display SAP Directories).

b. Check in the directory below for SF-133 Report File(s) (File begins with SF133_ Example: SF133_Feb_FY2018.txt).

i. /sapmnt/PB7/EAIData/INT/DATA_ACT/OTHR/inbound

Figure 17: Check the Directory for the SF-133 File



2. Process the SF-133 file(s) into the HANA DA_SF133_TARGET TABLE.

Run the following sequence of steps in order of each SF-133 file to be processed, i.e. process one file in BI and then in HANA before processing the next file2.

a. In SAP GUI of PB7 system - Go to T-Code RSPC (Process Chain Maintenance). b. Under Process Chains expand “Data Act” subfolder and find process chain “Data Act

SF133 Load”. c. Schedule (execute) the process chain “Data Act SF133 Load” and confirm it successfully

completed.

Figure 18: Process Chain Display - Confirm SF-133 File Completed

2 File A may be run by itself. Files B and C must be run together. File A alone runs in seconds. All three files run in about 2.5 hours. Since period 2018003, when running Files B and C, a prior period CANNOT be run once the HANA tables have been updated with the current period.



d. Identify the SF-133 file just processed by right-clicking on the second step in the chain titled “System Command – Rename and archive data file” and selecting “Displaying Messages…”. Within the message displayed look for the file processed. For example “File SF133_FY2018_Period_03.txt exists”.

Figure 19: Process Chain Display - Right-click System Command


Figure 20: Displaying Message


e. In SAP HANA Studio, under System PE1, execute the following statement:

Call "USDA"."DA_SF133_DATA_V2" (?);

Figure 21: SAP HANA Studio - Execute


f. Confirm the SF-133 file was loaded into the HANA DA_SF133_TARGET table by executing the following statement and check for the matching fiscal period. For example, in the results set you should see a line for TAS_AID: 012 and TAS_FISCYRPR: 2018003.

Select distinct (TAS_AID), TAS_FISCYRPR from "USDA"."DA_SF133_TARGET"

Order by tas_aid, TAS_FISCYRPR;

Figure 22: SAP HANA Studio - Confirm SF-133 File

g. Run the sequence of steps in order again if more SF-133 files are to be processed.


3. Confirm Files A, B, and C inbound file are in the directory.

a. In SAP GUI of PB7 system - Go to T-Code AL11 (Display SAP Directories).

b. Check in the directory below for A_C Inbound File(s) (File begins with AC_ Example: AC_AP02_20170420_T140049.csv).

/sapmnt/PB7/EAIData/INT/DATA_ACT/inbound

Figure 23: Confirm Files A-C Inbound Files are in the Directory

4. Raise the event to start the process chain.

a. In SAP GUI of PB7 system - Go to T-Code SE38 (Process Chain Maintenance).

b. Run the following program ZDA_RAISE_EVENT with the V_EVENT = ZDA_AC_FILE_PROCESS

Figure 24: Start the Process Chain


5. Go to the process chain log to ensure it has run.

a. In SAP GUI of PB7 system - Go to T-Code RSPC (Process Chain Maintenance).

b. Under Process Chains expand “Data Act” subfolder and find process chain “Data Act A thru C Main Process”. Double-Click it.

c. Click the golden scroll to check the logs of the run. (Note: This chain will loop for each file until it runs out. When it runs out of AC files, the process chain will produce an error. In the logs, you will see a set of green for successful runs. You will know it has completed if it errors out due to having no more AC files)

Figure 25: Process Chain - Confirm Files Have Run


6. Process File A (Appropriations)3

a. In SAP HANA Studio, under System PE1, execute the following statement for the correct fiscal period:

Call "USDA"."DA_MASTER_LOAD_TABLES_A_B_C_V4" ('YYYYPPP', 'Y', 'N', 'N', 'Y', 'N', 'N', ?);

Table 2: Statement Schema Mapping Statement Schema Mapping

YYYYPPP in i_FISCALPERIOD nvarchar(7) Indicates fiscal year and period that is being refreshed

Y in i_A_FLAG nvarchar(1) Indicates load File A data

N in i_B_FLAG nvarchar(1) Indicates load File B data

N in i_C_FLAG nvarchar(1) Indicates load File C data

Y in i_TOA_FLAG nvarchar(1) Indicates load just TOA (Y) or load everything (N)

N in i_REFRESH_WT_FLAG nvarchar(1) Indicates refresh only work table data (no reload of outbound tables)

N in i_REFRESH_OBT_FLAG nvarchar(1) Indicates refresh only outbound table data (no reload of work tables)

? out ex_message nvarchar(200)

Figure 26: Process the File A

3 Files B and C must run the Process Chain Management procedure prior to Step 6.


At the completion of the Repository process, an initial File A is produced.

3.1.4 Error Handling and Certification An error report is run and analyzed by the BI and TARD teams before File A is submitted to DABS. Most errors occur due to user access issues or missing prior yearend balances. An email notification regarding error handling and the error report is then sent from the BI team to the Agencies, FMS Help Desk, and DATA Act Team. Additionally, a certification report is run before File A is submitted to DABS and an email notification regarding the certified data and the report is sent from the BI team to the Agencies, FMS Help Desk, and DATA Act Team. The error and certification reports in these email notifications4 for File A are for informational purposes only, no action is needed by the agencies.

3.1.4.1 USDA Error Handling and Certification Process The File A Error report for USDA must be run for all USDA agencies as a whole (not for specific business areas) and therefore the Repository publication functionality cannot be used. However, OCFO retains this publication to allow us to capture the correct verbiage and details for the email.

1. In the Repository, navigate to the publication in FMMI/HANA/DATA ACT.

Figure 27: USDA Error Handling Process - Navigate to DATA Act

4 The Email Group List can be found in Appendix A: Legislation, Guidance, and Tools.


2. Right-click DATA ACT FILE A ERROR REPORT and select View.

Figure 28: USDA Error Handling Process - Right-click on DATA Act File A Error Report

3. Respond to the Agency prompt, selecting 012 for USDA. Select the Fiscal Period5. Click OK.

Figure 29: USDA Error Handling Process - Select Prompts

5 Do not provide a response to the Business Area prompt.


4. If the report returns data, click the Export icon.

Figure 30: USDA Error Handling Process - Click the Export Icon

5. Select Export Document As and then select Excel.

Figure 31: USDA Error Handling Process - Export Document

6. A message will pop up asking if you wish to open or save the report. Click Save.

Figure 32: USDA Error Handling Process - Save Error Report

7. Another message will pop up letting you know the download has completed. Click Open Folder.

Figure 33: USDA Error Handling Process - Download Has Completed


8. Your Downloads folder will be presented. Click the column header “Date modified” to sort by descending date modified. Your saved report will be the first file displayed.

Figure 34: USDA Error Handling Process - Downloads Folder

9. Close the DATA ACT FILE A ERROR REPORT.

Figure 35: USDA Error Handling Process - Close the File A Error Report


10. Right-click DATA ACT FILE A ERROR REPORT PUBLICATION – USDA ONLY and select Schedule.

Figure 36: USDA Error Handling Process - Right-click on DATA Act File A Error Report Publication

11. Select the Destinations tab on the left hand menu of the publication. Copy the text in the Message

block and paste into an email to create the error handling email notification.

Figure 37: USDA Error Handling Process - DATA Act File A Error Report Publication


12. The error handling email notification will contain a workbook in the excel file format with one tab, the File A_Error_Records Report. A copy of the File A Error Records Report can be found in Appendix A: Legislation, Guidance, and Tools. This is a listing of all error records and associated error codes. The agencies will use this report to review errors.

Figure 38: USDA DATA Act File A Error Report Notification

The File A Certification report for USDA must also be run for all USDA agencies as a whole (not for specific business areas) and therefore the Repository publication functionality cannot be used. Please follow steps 1-10 in this section (3.1.4.1 USDA Error Handling and Certification Process) to run a certification report, right-clicking on DATA ACT FILE A CERTIFICATION REPORT in Step 2, instead of the DATA ACT FILE A ERROR REPORT. Once you have completed steps 1-10, move on to Step 12 below.


13. The certification email notification will contain a workbook in the excel file format with one tab. A copy of the File A Certification Report can be found in Appendix A: Legislation, Guidance, and Tools. This is a listing of all of the clean records and associated data.

Figure 39: USDA DATA Act File A Certification Report Notification

The FMS Help Desk will create a Service Request ticket in the Service Now System and assign the ticket to the Agency Shared Mailbox.


3.1.4.2 FSSP Clients Error Handling and Certification Process The File A Error report publication for FSSP clients is run by business area/agency and follows the Repository publication functionality.

1. In the Repository, navigate to the publication in FMMI/HANA/DATA ACT.

Figure 40: FSSP Clients Error Handling Process - Navigate to DATA Act

2. Right-click the DATA ACT FILE A ERROR REPORT PUBLICATION – NON-USDA and select

Schedule.

Figure 41: FSSP Clients Error Handling Process - Right-click on DATA Act File A Error Report Publication


3. The following window will open. Click Prompts.

Figure 42: FSSP Clients Certification Process - Click Prompts

4. Click the Modify button.

Figure 43: FSSP Clients Error Handling Process - Click Modify


5. Select the Agency Code you wish to run in the prompts window (for instance, if you need to run for 302, select 302), moving it to the pane on the right.

Figure 44: FSSP Clients Error Handling Process - Select the Agency Code

6. Select the Fiscal Period for the report being run.

Figure 45: FSSP Clients Error Handling Process - Select the Fiscal Period


7. Select the Business Area for the report being run and click Apply.

Figure 46: FSSP Clients Error Handling Process - Select Business Area

8. The Prompts window will show the prompt responses that you made.

Figure 47: FSSP Clients Error Handling Process - View Prompt Responses


9. Click Dynamic Recipients.

Figure 48: FSSP Clients Error Handling Process - Click Dynamic Recipients

10. De-select the current business area, moving it out of the Selected pane.

11. Select the Business Area you are scheduling for and move it to the Selected pane.

NOTE: Dynamic Recipients must be selected last, just before scheduling the publication.

Figure 49: FSSP Clients Error Handling Process - De-select the Current Business Partner


12. Click Schedule.

Figure 50: FSSP Clients Error Handling Process - Click Schedule

The File A Certification report publication for FSSP clients is run by business area/agency and follows the Repository publication functionality. Please follow steps 1-12 in this section (3.1.4.2 FSSP Clients Error Handling and Certification Process) to run a certification report, right-clicking on DATA ACT FILE A CERTIFICATION REPORT PUBLICATION – NON-USDA in Step 2, instead of the DATA ACT FILE A ERROR REPORT PUBLICATION – NON-USDA.


3.1.5 DABS Submission Once the validation has been run in the Repository, all records without an error in the File A are ready to be combined with File B and File C data for submission to DABS6.

1. The OCFO BI team runs a process chain to pull the error-free data from the BW Server, inserting Treasury required headers during this process, and dropping the file into the OCFO Shared Directory. There are two separate process chains for USDA agencies and for FSSP clients.

Figure 51: Process Chain - Error-free Data

6 DATA Act Files A, B, and C must be submitted to DABS as one package.


Figure 52: OCFO Shared Directory


2. The OCFO BI team pulls the File A report from the OCFO Shared Directory and drops the file in to the DABS site manually.

a. Sign on to the DATA Act Broker site.

Figure 53: DATA Act Broker Home Page

b. Click Enter under the Select the DATA Act Broker Submission.

Figure 54: Select the DATA Act Broker Submission

https://broker.usaspending.gov/


c. On the DABS home page, click on “Upload and Validate a New Submission”

Figure 55: Select Upload and Validate a New Submission


d. The Upload & Validate a New Submission screen describes the four steps to Upload and Validate Agency Data. Click Next.

Figure 56: Four Steps to Upload & Validate


e. Provide the Submission Info by answering each question on the screen. Click Submit.

Figure 57: Upload & Validate - Submission Info Screen

f. Drag and drop the File A from the Shared Directory7. Once all of the Files have been

dragged and dropped onto the screen, the Upload and Validate files button will appear, click that button.

Figure 58: Upload Files to DABS

7 In order for the Upload and Validate files button to appear, File A, B, and C must be dragged and dropped from the Shared Directory.


g. Once the files have been uploaded, the system will produce warnings and errors. If there are errors for the File A, the report must be fixed and reloaded into DABS. To view the Warnings, click on the View & Download Warnings Report. An example of the File A Warnings Report, can be found in Appendix A: Legislation, Guidance, and Tools. Click Next.

Figure 59: Warning and Errors


h. DABS will give you the option to Generate the Files D1 and D2. To view these files, click Generate Files. To move to the next step, click Next.

Figure 60: Option to Generate the Files D1 and D2


i. A cross validation is performed between the File A and B. The yellow explanation point represents warnings found in the report. Warnings do not prevent publication of data. A red x indicates errors in the report and prevents publication of the data. A Next button will be located at the bottom right of this screen, click the next buton to move forward to the next screen.

Figure 61: DABS File A and B Validation


j. Files E and F will appear on the next screen and are available for download. Click Next.

Figure 62: Files E and F are Generated


k. Add comments for the File A and click Save Changes. Before clicking “Notify Another User that the Submission is Ready for Certification”, the OCFO BI team sends an email notification to OCFO leadership asking for confirmation that certification is granted. Please see Section 3.1.6 for more detail on the email notification. Once the confirmation of certification is received from OCFO leadership via a response to the email sent, the OCFO BI team clicks the “Notify Another User that the Submission is Ready for Certification” button.

Figure 63: Confirmation of data being successfully validated in DABS


l. Begin to type the name or email of the person who will certify the File A Submission8. This person’s email will pop up, once the system recognizes the name or email. Click Send Notification and an automated message will be sent to the identified certifier alerting them to go into DABS and certify the File A Submission.

Figure 64: Select the File A Certifier

8 The USDA Certifier must first obtain USDA CFO Signature and cannot be the same person that entered the File A into DABS


3.1.6 Assurance In addition to the certification provided by OCFO leadership, an Assurance Statement is distributed by OCFO TARD to the agencies via an email, asking each agency to sign and provide reasonable assurance that their agency’s internal controls support the reliability and validity of the agency account-level data reported per the DATA Act files. A copy of the USDA DATA Act Quarterly Assurance Statement can be found in Appendix A: Legislation, Guidance, and Tools.

Figure 65: Assurance Request Email Example


3.1.7 Certification Once the File A data has been entered into DABS and the user has arrived to the confirmation of data being successfully validated in DABS (please see Section 3.1.5, step 2, subsection K), an email is sent from the OCFO BI team to OCFO leadership. The email must include the DATA Act Status report, Submission Appropriations Warning report, Submission Program Activity Warning report, and the Submission Award Financial Warning Report. This action alerts leadership that the team has completed its final refresh of the Repository, have submitted USDA’s File A, B, and C to DABS for pre-validation, and are asking for confirmation that certification be granted.

Figure 66: Certification Request Email Example


Appendix A: Legislation, Guidance, and Tools Guidance URL or File

Digital Accountability Digital Accountability and Transparency Act of 2014 (DATA Act)


Inspectors General Guide to Compliance Under the DATA Act


SF 133, Report on Budget Execution and Budgetary Resources


OMB Circular A-11, Preparation, Submission, and Execution of the Budget

https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/assets/a11_current_year/a11_2017.pdf

DATA Act Broker Site https://broker.usaspending.gov

Treasury Guidance Documents

https://www.fiscal.treasury.gov/data-transparency/

DATA Act Documents and Resources Site

https://nfc.usda.gov/FSS/ClientServices/FMS/DATA_Act/index.php








https://broker.usaspending.gov/

https://www.fiscal.treasury.gov/data-transparency/


Appendix B: FMMI Dropbox FileZilla Submission Instructions This section includes submission instructions using FileZilla.

1. Open FileZilla, click on File, Site Manager, and New Site.

Figure 67: FileZilla Home Screen

2. On the next screen, please enter the following:

a. Host: 199.139.136.71

b. Port: 22

c. Protocol: Click on the dropdown and select “SFTP – SSH File Transfer Protocol”

d. Login Type: Click on the dropdown and select “Ask for password”

e. Userid Name: (intpr****) ex: intprar00 (Please use your agencies Userid Name)


Figure 68: FileZilla Site Manager

3. After entering the information, click Connect and enter your password. Screenshot below should

appear:

Figure 69: FileZilla FMMI Dropbox


4. First, click on your Userid Name (intpr****) folder, then click on the folder. Once this is done, place

your agency file here (intpr<agencycode>/in). Please note, it is very important to place the file in the “in” directory. If the file is placed in the incorrect directory, the file will not be picked up.


Appendix C: FMMI Dropbox WinSCP Submission Instructions This section includes submission instructions using WinSCP.

1. Open WinSCP, click on “New Site” on the left-hand side.

Figure 70: WinSCP Home Page


2. On the next screen, please enter the following:

a. File Protocol: click on the dropdown and select SFTP.

b. Host name: fprdrop-d.fmmiad.fmmi.usda.gov

c. Port number: 22

d. User name: Your id intqa**** (Ex. intqafx00)

Figure 71: WinSCP Home Page Example


3. After you put in the information above, click “Login” and enter your password.

Figure 72: WinSCP Login

4. The screen below will appear once you click “OK”. Click on the “in” folder. Once this is done,

place your file into the /home/intqa<agencycode>/in (in the example below, the location is labeled: /home/intqafx00). Please note, it is very important to place the file in the “in” directory. If the file is placed in the incorrect directory, the file will not be picked up.

Figure 73: WinSCP FMMI Dropbox

Note: If your agency is using a different software solution and is in need of assistance, please contact the FMMI Interface Team at [email protected].



Appendix D: Acronym List BI: Business Intelligence

DABS: DATA Act Broker Submission

DAIMS: DATA Act Information Model Schema

DATA Act: Digital Accountability and Transparency Act of 2014

ESB: External Services Branch

FABS: Financial Assistance Broker Submission

FMMI: Financial Management Modernization Initiative

FMS: Financial Management Services

FSSP: Federal Shared Service Provider

FTP: File Transfer Protocol

GTAS: Governmentwide Treasury Account Symbol Adjusted Trial Balance System

OCFO: Office of the Chief Financial Officer

OMB: Office of Management and Budget

POC: Point of Contact

PIID: Procurement Instrument ID

Repository: USDA DATA Act Repository (SAP HANA)

RSS: Reporting Submission Specification

SOP: Standard Operating Procedure

USDA: U.S. Department of Agriculture

TARD: Transparency and Accountability Reporting Division

TAS: Treasury Account Symbol

Treasury: U.S. Department of the Treasury

Date post:	21-Apr-2020
Category:	Documents
Upload:	others
View:	1 times
Download:	0 times