Oracle Cloud Human Capital Management for

the US
Balance Exception Report
ORACLE WHITE PAPER | OCTOBER 2018
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ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
Table of Contents

Disclaimer 1

Overview 1

Prerequisites 1

Running the Balance Exception Report 1

Adding Additional Exceptions 2

Defining the Fast Formula 3

Defining Balance Exceptions 4

Predefined Exception Types 5

Comparison Types 5

Variance Operator 5

Balance Exception Example 6

Updating the Balance Exception Report 7

Appendix A: Federal Balance Exception Reporting 8

Appendix B: Deferred Compensation Over the Limit Balance Exception Report 9

Appendix C: State Balance Exception Report 11

Appendix D: Formula Function Calls 12

ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
Overview
As part of your year-end balancing and reconciliation, use the Balance Exception Report to identify
potential incorrect tax amount withheld or wage over limit situations. There are three reports available
to process:

» Deferred Compensation Over the Limit

» Federal Exceptions
» State Exceptions

For descriptions of the exceptions in these reports, refer to the appendices at the end of this
document.

Prerequisites
Run the Balance Exception Report after successful completion of a payroll run or QuickPay.

Running the Balance Exception Report

To run the Balance Exception Report:
1. On the Payroll Calculation Tasks page, click Submit a Process or Report.
2. Select your US legislative data group (LDG).
3. Select the Run Balance Exception Report flow pattern, and click Next.
4. Select the exception type and other required values.

1 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
5. Click Submit.

Predefined detail in the Federal Exception Report

NOTE: The REFERENCE_VALUE in the fast formula sets the Variance Value on the report. The process
derives the balance value.

Adding Additional Exceptions

You can add additional exceptions to the predefined exception reports, but you cannot delete the predefined ones.

Adding exceptions involves the following:

2 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
1. Defining the fast formula (this step is optional if defining an exception using “balances” only.)
2. Defining balance exceptions
3. Updating the Balance Exception Report

Defining the Fast Formula

When adding new exceptions, use the Manage Fast Formulas task in the Payroll Calculations work area to:
» Copy one of the predefined balance exception fast formulas
» Create a new fast formula
To define the fast formula for new exceptions:

1. Navigate to the Payroll Calcualtions work area, and start the Manage Fast Formulas task.
2. To use an existing Balance Exception formula as a template for a new one, search for and select the
appropriate formula.
The following formulas are predefined for state and federal exceptions:

» US_Federal_Exceptions_Overlimit
» US_State_Exceptions_Overlimit
» US_Deferred_Compensation_Overlimit
Or you can create a formula entirely from scratch.

3. Click Create.
4. Add formula details.

3 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
 NOTE: For state exceptions, the balance or dimension identified in the exception definition passes specific
contexts to the state exception formula. The state exception fast formula cannot reference a federal balance on
the left side of the equation.
5. Specify inputs as needed.
The following inputs are available:
» EXCP_BASE_BAL_EXCEPTION_NAME(text),EXCP_BASE_BALANCE_NAME(text),EXCP_DATABASE
_ITEM_SUFFIX(text)
» EXCP_COMPARISON_TYPE(text),EXCP_COMPARISON_VALUE,EXCP_VARIANCE_TYPE(text)
» EXCP_VARIANCE_OPERATOR(text),EXCP_VARIANCE_VALUE
6. Enter all the balance exceptions within the formula using IF/THEN statements. The value for
EXCP_BASE_BAL_EXCEPTION_NAME is user defined.
7. Use the following formula functions as needed:
» HRX_US_FEDERAL_VALUE
» HRX_US_STATE_VALUE
Use them to return the appropriate legislative value. For further information, see Appendix D.
8. Use the REFERENCE_VALUE variable to set the value used in the right side of the equation compare. The
formula compares this value against the balance selected by the balance exception definition.
» To set the REFERENCE_VALUE to a particular balance, use the appropriate DBI name for that balance.
» To set the REFERENCE_VALUE to a legislative value, use the appropriate formula function.
9. Use the REFERENCE_INFO variable to specify additional information you want displayed on the output report.
This is user defined.
10. Click Compile when finished.
For example, a fast formula comparing the taxable Employee Social Security amount to the legislative limit could
look like:

INPUTS ARE EXCP_BASE_BALANCE_NAME(text),EXCP_BASE_BAL_EXCEPTION_NAME(text)

if (EXCP_BASE_BAL_EXCEPTION_NAME='Social Security Employee Taxable Over the
Limit')
then
(
val=HRX_US_FEDERAL_VALUE('US_SS_EE_WAGE_LIMIT','EE')
REFERENCE_VALUE=val
REFERENCE_INFO='SS EE Limit '||To_CHAR(val)
return REFERENCE_VALUE, REFERENCE_INFO
)

Defining Balance Exceptions

Use balance exceptions to identify the values that vary for a balance dimension. This variance may be due to:
» Incorrect payments
» Incorrect balance adjustments
» Incorrect amounts withheld
Use the Manage Balance Exceptions task in the Payroll Calculations work area to define the balance exceptions you
want to capture and display on the Balance Exception Report.

4 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
Predefined Exception Types
The following exceptions are already defined for taxes withheld, deductions, and wages in excess of the legal limit:

» Compare the amounts withheld for 401 (k) and the associated catch-ups against the legislative limit.
» Compare the amounts withheld for Roth 401 (k) and the associated catch-ups against the legislative limit.
» Compare the Social Security Taxable balance for employee and employer to ensure they are equal.
» Compare the Medicare Employee withheld is equal to the Medicare Employer liability for wages under the
200,000 USD limit
» Validate the FUTA Taxable balance does not exceed the legislative limit
» Check the taxable wages and withheld amounts for the State Disability Insurance Taxable balance for
employee
» Check the taxable wages and withheld amounts for the State Unemployment Insurance Taxable balance for
employer

Comparison Types
When you create a balance exception, you must specify the comparison type. The comparison type defines the
period of the exception. For example, year-end exceptions use a comparison type of Current year.

The following comparison types are available:

Comparison
Description
Type

Average in months Compares the current month-to-date with the average of previous months-to-date. For use with balance
dimension of ASG_MONTH or PER_MONTH.

Current month Compares values to the total for the current month-to-date. Doesn't use any previous month as a basis for
comparison.

Current period Compares values to the total for the current period-to-date. Doesn't use any previous period as a basis for
comparison.

Current quarter Compares values to the total for the current quarter-to-date. Doesn't use any previous period as a basis for
comparison.

Current year Compares values to the total for the current year-to-date. Doesn't use any previous period as a basis for
comparison.

Previous month Uses the previous month as a basis of comparison.

Previous period Uses the previous period as a basis of comparison.

Variance Operator
When you create a balance exception, the variance operator specifies the precise range of variance you are
reporting. The following variance operators are available:

 Less Than

 Less than or equal

 Equal

5 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
  Not equal

 Greater than

 Greater than or equal

Balance Exception Example

The following example illustrates how to configure a predefined exception to check for unacceptable Social Security
balance conditions, such as the Social Security Employee Taxable balance being greater than the Social Security
Employee legislative limit. This exception uses the Federal Exceptions fast formula.

To define this balance exception:

1. Navigate to the Payroll Calculation work area, and start the Manage Balance Exceptions task.
2. Click Create.
3. Select a US LDG, and click OK.
4. Complete the fields as shown:

Field Description

Balance Exception Specify a meaningful name as it should appear in the report, such as Social Security Employee Over the
Name Limit.

Comparison Type To compare year-to-date data, select Current year as the comparison type.

Balance Name Select the balance to be used as the left side of the equation compare, such as Social Security Employee
Taxable.

Dimension Name Select Relationship Tax Unit Year to Date.

Variance Type Select Formula.

Variance Operator Select Greater than.

Target Balance Leave blank. This field is mandatory if you selected the Balance variance type.
Name

Target Dimension Leave blank. This field is mandatory if you selected the Balance variance type.
Name

Variance Value Enter 0.

Severity Level Enter 1. - Severity Level will assist with the sorting of the exceptions within the report. Example from above
– Severity Level 1 will show first in the report.

Formula Name Select the formula you created previously. For further information, see the “Fast Formula” section above.

6 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
 Fields for Balance based Variance Type:

Updating the Balance Exception Report

Once you have defined the fast formula and balance exceptions:

» Add the new balance exceptions to the one of the predefined Balance Exceptions Report
» Create one
Use the Manage Balance Exceptions and Reports task in the Payroll Calculations work area to update the Balance
Exception report:

1. Start the Manage Balance Exceptions and Reports task.

2. Select your US LDG.
3. Chose the exception report you want to update, and click the Update Status.

4. Select Add from the Action menu, and choose a balance exception from the list of exceptions you defined
previously.

7 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
5. Remove any exceptions as required.
While you can add or delete user-defined exceptions as needed, you cannot remove any predefined exceptions
from the predefined reports.
6. Click Submit.
NOTE: If a future Update and Maintenance Pack delivers changes to the predefined reports, your configurations will
remain intact.

Appendix A: Federal Balance Exception Reporting

The following are the predefined federal balance exception definitions used in the Federal Exception Report:

Balance
Comparison Balance Dimension Variance Variance Variance Severity Formula
Exception
Type Name Name Type Operator Value Level Name
Name

Medicare Current Year Medicare Relationship Balance Less than 0 1 Federal

Employee Wages Employee Tax Unit Exceptions
Less Than Social Reduced Year to Date
Security Subject
Employee Wages Withholdable

8 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
FIT Gross Less Current Year FIT Gross Relationship Balance Less than 0 1 Federal
Than Social Tax Unit Exceptions
Security Year to Date
Employee
Taxable

Social Security Current Year Social Security Relationship Formula Greater 0 1 Federal
Employee Employee Tax Unit than Exceptions
Taxable Over the Taxable Year to Date
Limit

Social Security Current Year Social Security Relationship Formula Greater 0 1 Federal
Employer Taxable Employer Tax Unit than Exceptions
Over the Limit Taxable Year to Date

Social Security Current Year Social Security Relationship Balance Not equal 0 1 Federal
Employee Tax Employee Tax Unit Exceptions
Not Equal to Withheld Year to Date
Social Security
Employer Liability

Social Security Current Year Social Security Relationship Formula Not equal 0 1 Federal
Employer Tax Employer Tax Unit Exceptions
Incorrect Liability Year To Date

Social Security Current Year Social Security Relationship Formula Not Equal 0 1 Federal
Employee Tax Employee Tax Unit Exceptions
Incorrect Withheld Year To Date

Medicare Current Year Medicare Relationship Formula Not equal 0 1 Federal

Employee Employee Tax Unit Exceptions
Withheld Not Withheld Year to Date
Equal to Medicare
Employer Liability
for Wages Under
200,000 USD

FUTA Wages Current Year FUTA Taxable Relationship Formula Greater 0 1 Federal
Over the Limit Tax Unit than Exceptions
Year To Date

FIT Gross Less Current Year FIT Gross Relationship Balance Less than 0 1 Federal
Than FIT Tax Unit Exceptions
Reduced Subject Year To Date
Withholdable

FIT Gross Less Current year FIT Gross Relationship Balance Less than 0 1 Federal
Than FUTA Tax Unit Exceptions
Taxable Year To Date

FIT Gross Less Current Year FIT Gross Relationship Balance Less than 0 1 Federal
Than Medicare Tax Unit Exceptions
Employee Year To Date
Reduced Subject
Withholdable

Appendix B: Deferred Compensation Over the Limit Balance Exception Report

The following are the balance exception definitions used in the Deferred Compensation Over the Limit Exception
Report:

9 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
Balance
Comparison Balance Dimension Variance Variance Variance Severity Formula
Exception
Type Name Name Type Operator Value Level Name
Name

401k Over the Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Limit Compensation NoCB Year Compensa
401k to Date tion Over
the Limit

401k Catch-up Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Over the Limit Compensation NoCB Year Compensa
401k Catch Up to Date tion Over
the Limit

401k Roth Over Current Year Deferred Relationship Formula Greater than 0 1 Deferred
the Limit Compensation NoCB Year Compensa
Roth 401k to Date tion Over
the Limit

401k Roth Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Catchup Over the Compensation NoCB Year Compensa
Limit Roth 401k to Date tion Over
Catch Up the Limit

403B Over the Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Limit Compensation NoCB Year Compensa
403B to Date tion Over
the Limit

403B Catchup Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Over the Limit Compensation NoCB Year Compensa
403B Catch to Date tion Over
Up the Limit

403B Roth Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Catchup Over the Compensation NoCB Year Compensa
Limit Roth 403B to Date tion Over
Catch Up the Limit

403B Roth Over Current Year Deferred Relationship Formula Greater than 0 1 Deferred
the Limit Compensation NoCB Year Compensa
Roth 403B to Date tion Over
the Limit

457 Over the Limit Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Compensation NoCB Year Compensa
457 to Date tion Over
the Limit

457 Catchup Over Current Year Deferred Relationship Formula Greater than 0 1 Deferred
the Limit Compensation NoCB Year Compensa
457 Catch Up to Date tion Over
the Limit

457 Roth Catchup Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Over the Limit Compensation NoCB Year Compensa
Roth 457 to Date tion Over
Catch Up the Limit

10 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
457 Roth Over the Current Year Deferred Relationship Formula Greater than 0 1 Deferred
Limit Compensation NoCB Year Compensa
Roth 457 to Date tion Over
the Limit

Note: The report returns an exception for any employee who is in multiple TRUs and is over their limit. The
exception also reports the Balance Value as the total of the 401 (k) deductions withheld over the multiple TRUs.
For example, the following image shows two lines for the employee in ADDT_USP_W2LE_TRU1 and in
ADDT_USP_W2LE_PTRU. It also shows the Balance Value as 18,500 USD in both. The 18,500 USD
represents the total in both TRUs:

Appendix C: State Balance Exception Report

The following are the predefined state balance exception definitions used in the State Exception Report:

Balance
Comparison Balance Dimension Variance Variance Variance Severity Formula
Exception
Type Name Name Type Operator Value Level Name
Name

SUI Employer Current Year SUI Employer Relationship Formula Greater 0 1 State
Wages Over the Taxable Tax Unit than Exceptions
Limit State Year to
Date

SUI Employer Current Year SUI Employer Relationship Formula Not equal 0 1 State
Tax Incorrect Liability Tax Unit Exceptions
State Year to
Date

11 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
SDI Employee Current Year SDI Employee Relationship Formula Not equal 0 1 State
Tax Incorrect Withheld Tax Unit Exceptions
State Year to
Date

SDI Employee Current Year SDI Employee Relationship Formula Greater 0 1 State
Wages Over the Taxable Tax Unit than Exceptions
Limit State Year to
Date

SUI Employer Current Year SUI Employer Relationship Balance Greater 0 1 State
Taxable Wages Taxable Tax Unit than Exceptions
Greater Than FIT State Year to
Gross Wages Date

SIT Subject Current Year SIT Subject Relationship Balance Greater 0 1 State
Withholdable Withholdable Tax Unit than Exceptions
Greater Than FIT State Year to
Subject Date
Withholdable

NOTE: area1_text represents the state abbreviation. Use AREA1(text) to get the geocode.

NOTE: Severity Level will assist with the sorting of the exceptions within the report. Example from above – Severity
Level 1 will show first in the report.

Appendix D: Formula Function Calls

The following are the common values you can use with the federal function to retrieve legislative values:

Legislativ
Function call Notes
e Value

FUTA wage HRX_US_FEDERAL_VALUE('US_FUTA_WAGE_LIMIT')

limit

FUTA tax HRX_US_FEDERAL_VALUE('US_FUTA_RATE')

rate

Medicare HRX_US_FEDERAL_VALUE('US_MEDICARE_EE_RATE','EE') Use the

EE rate EE/ER
paramete
r to
determin
e the rate
type. Use
EE to get
the
employee
value.
Use ER
to get the
employer
value.

Medicare HRX_US_FEDERAL_VALUE('US_MEDICARE_EE_RATE','ER') Use the

ER rate EE/ER
paramete
r to
determin
e the rate
type. Use

12 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
 EE to get
the
employee
value.
Use ER
to get the
employer
value.

Social HRX_US_FEDERAL_VALUE('US_SS_ER_RATE','ER') Use the

Security ER EE/ER
rate paramete
r to
determin
e the rate
type. Use
EE to get
the
employee
value.
Use ER
to get the
employer
value.

Social HRX_US_FEDERAL_VALUE('US_SS_ER_RATE','EE') Use the

Security EE EE/ER
rate paramete
r to
determin
e the rate
type. Use
EE to get
the
employee
value.
Use ER
to get the
employer
value.

Social HRX_US_FEDERAL_VALUE('US_SS_EE_WAGE_LIMIT', 'ER') Use the

Security ER EE/ER
wage limit paramete
r to
determin
e the
wage
limit type.
Use EE
to get the
employee
value.
Use ER
to get the
employer
value.

Social HRX_US_FEDERAL_VALUE('US_SS_EE_WAGE_LIMIT', 'EE') Use the

Security EE EE/ER
wage limit paramete
r to
determin
e the
wage

13 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
 limit type.
Use EE
to get the
employee
value.
Use ER
to get the
employer
value.

401K HRX_US_FEDERAL_VALUE('US_PT_401K_ANNUAL_LIMIT')
ANNUAL
LIMIT

401K HRX_US_FEDERAL_VALUE('US_PT_401K_CATCHUP_LIMIT')
CATCHUP
LIMIT

403B HRX_US_FEDERAL_VALUE('ORA_HRX_US_DEFERRED_COMPENSATION_403B_ANNUAL_LIMIT')
ANNUAL
LIMIT

403B HRX_US_FEDERAL_VALUE('ORA_HRX_US_DEFERRED_COMPENSATION_403B_CATCHUP_ANNUAL_LI
CATCHUP MIT')
ANNUAL
LIMIT

457 HRX_US_FEDERAL_VALUE('ORA_HRX_US_DEFERRED_COMPENSATION_457_ANNUAL_LIMIT')
ANNUAL
LIMIT

457 HRX_US_FEDERAL_VALUE('ORA_HRX_US_DEFERRED_COMPENSATION_457_CATCHUP_ANNUAL_LIMI
CATCHUP T')
ANNUAL
LIMIT

The following are the common values you can use with the state function to retrieve legislative values:

Legislative Value Function Call Notes

SUI Employer rate Use the EE/ER parameter to

HRX_US_STATE_VALUE('US_SUI_ER_RATE', 'ER', 'Y')
determine the rate type. Use EE to get
the employee value. Use ER to get
Or the employer value.

HRX_US_STATE_VALUE('US_SUI_ER_RATE', 'ER') Use the Y/N parameter to check for

overrides. Y is the default and causes
the function to check for overrides on
the organization calculation card first.

SUI Employer wage HRX_US_STATE_VALUE('US_SUI_ER_WAGE_LIMIT', 'ER', 'N') Use the EE/ER parameter to
limit determine the wage limit type. Use EE
to get the employee value. Use ER to
get the employer value.
Use the Y/N parameter to define
where the function gets the value.
Use N to skip retrieval from a
calculation card override and retrieve
the value from the calculation value
definitions.

SUI Employee wage HRX_US_ STATE_VALUE('US_SUI_EE_WAGE_LIMIT', 'EE', 'N')

limit

SUI Employee rate HRX_US_STATE_VALUE('US_SUI_EE_RATE', 'EE', 'N')

14 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT
SDI Employee wage HRX_US_STATE_VALUE('US_SDI_EE_WAGE_LIMIT', 'EE', 'N')
limit

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Balance Exception Report

October 2018
Author: Lisa Ridgely
Contributing Authors: John Lawson

15 | ORACLE CLOUD HUMAN CAPITAL MANAGEMENT FOR THE US: BALANCE EXCEPTION REPORT