WebBased Contract Audit FollowUp CAFU

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Web-Based Contract Audit Follow-Up
(CAFU) Presented By Elaine Philpott, DCMA HQ
CAFU PROCESS MANAGER Date Jun 04, 2003
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OVERVIEW

• HISTORY
• CURRENT STATUS
• SUMMARY OF NEW FEATURES
• NEW FEATURE DETAILS
• MOCAS-BASED CAFU AND WEB-BASED CAFU COMPARED

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HISTORY

• DoD Directive 7640.2 requires that all audits be
  tracked
• 1980s 1990 Various Manual Tracking Systems
• 1995 Mainframe based CAFU database hosted on
  same computer as MOCAS
• MOCAS-like software and interface
• Relational database linked specific codes to
  MOCAS (e.g. ACO, ORG)
• 2000 Projected closure/ replacement of MOCAS
  and the modernization/single signon initiatives
  drove development of new CAFU system

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CURRENT STATUS

• 2002 Web-based CAFU system developed
• Originally developed by Defense Procurement CIM
  Systems Center in Columbus, OH.
• Summer 2002 Development transferred to DCMA IT
  Development Center (aka Skunk Works) in
  Alexandria, VA. Started over,
• December 2002/March 2003 Functional Testing
• March 31, 2003 Last Semiannual Report with
  MOCAS-based system
• Spring 2003 Training and Deployment
• September 30, 2003 First Semiannual Report with
  Web-based system

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SUMMARY OF NEW FEATURES

• Login within E-Tools User ID and Network
  Password
• Input screen not significantly changed from
  MOCAS-based system
• Introduction of e-mail alerts at significant
  milestones
• 30 Days prior to 6 Month Resolution Deadline
• 45 Days prior to 12 Month Disposition Deadline

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HOME Page

• Home is the first page that the user will see
  when they access CAFU. It displays a brief
  description about CAFU, current features, and
  announcements.

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DEFINITIONS

• Workflow Workflow is defined as the process
  that an audit undergoes while it is in the
  system.
• Pipeline Series of stages through which an
  audit proceeds in the workflow.
• Designed to enable a user to stay within CAFU
  Regulation 7640.2
• Edit Denotes that a record is available for
  edit. By clicking on this icon the Edit Audit
  Follow-Up page is displayed.

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DEFINITIONS

• Reset This action returns all fields to their
  value when the screen was accessed. This action
  does not leave the edit screen.
• Cancel This action cancels any change made to
  the form and leaves the edit audit screen
• Save Submit This action saves and submits all
  changes that were made to the audit record. This
  action serves as the trigger to send the audit
  report to the next stage in the pipeline.

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HOME Page

• The Home page is the first page that the user
  will see when they access CAFU. It displays a
  brief description about CAFU, current features,
  and announcements.

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Home

•                    Current version features
• Provides a list of features that are currently
  available in this release.
• n         List Audit Reports
• n         View Audit and Follow-Up Details
• n         View My Workgroup
• n         List My Work
• n         Run CAFU HQ Reports
• n         On-line Help
• n         Import and Validate Data
• n         Assign Audit
• n         Correct Audit Report
• n         Plan Audit
• n         Resolve Audit
• n         Disposition Audit
• n         Defer for Litigation or Criminal
  Investigation

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Workflow
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WORKFLOW

• An audit report goes through several positions
  with different fields being editable. These
  positions are referred to as the pipeline or
  pipeline status. The pipeline positions are
•          Verify It verified as belonging to
  the system. This step is performed by the
  system. No screen is available for this stage.
•          Assign The CAFU Monitor can assign an
  audit report to an ACO, if the report is not
  automatically assigned by the system.
•          Plan The ACO must enter the planned
  resolution and disposition dates.
•          Resolve The ACO must enter the actual
  resolution date.
•          Disposition or Defer The ACO can
  disposition or defer the audit report back to
  DCAA for action. This is noted by the ACO
  entering a reason for the deferral and the date
  it was requested. An audit report need not be
  deferred before it is dispositioned.
•          Defer The ACO has deferred the audit
  report, and can enter the actual disposition
  date.
•          Forward The ACO has completed all
  work on the audit report and sends a letter to
  DCAA. The ACO must enter a document forward
  date. No user input is required after this
  stage.
•          Forwarded The audit report is stored
  by the system.
•          Correction This is a state outside of
  the direct workflow that allows the next higher
  level in the Workgroup (i.e. CMO CAFU Monitor,
  District CAFU Monitor or HQ CAFU Monitor) to take
  corrective action on an audit report, and
  reposition it in the pipeline if necessary.

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WORKFLOWVerify

• The system validates that the audit report
  belongs in the system.
• Automatic, most of the time. If the correct ACO
  is unrecognized by the system, then the CAFU
  Monitor can assign the audit report to the
  correct ACO code. No user action is required at
  this stage of the workflow.
• If an audit report does not pass system
  verification logic, it is passed to an exceptions
  table, where it is the responsibility of the Data
  Base Administrator (DBA) to take action on that
  audit report.

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WORKFLOWAssign

• Assign This page/screen allows only a CAFU
  Monitor to use/ assign an audit report record to
  an ACO.
• Required Fields
• n         Assign to ACO.
• Business Rules
• n         The ACO must be part of the Monitors
  CMO and has to be related to the DoDAAC.
• DoDAAC and ACO Code determine assignment.

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WORKFLOWAssign (cont)
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WORKFLOWPlan

• At this stage the audit report has been assigned
  to the appropriate ACO. This page allows the ACO
  to enter the Resolution Target Date and the
  Disposition Target Date. The following business
  rules apply when assigning the above-mentioned
  dates
• Required Fields
• n         Resolution Target Date
• n         Disposition Target Date
• Optional Fields
• n         Common Actions
• Business Rules
•       The Resolution Target Date cannot be later
  than six months from the Audit Issue Date.
• The Disposition Target Date cannot be later
  than one year from the Audit Issue Date.

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MY WORKCommon Actions

• Common Actions
• There are common actions that can be performed in
  most pipeline positions. Those actions are
•          View Contractor Profile Links to the
  contractor profile.
•          Auditor Name Allows the user to
  change the auditors name
•          Auditor Phone Number Allows the user
  to change the auditor phone number.
•          Input Remarks This is an open entry
  text field that allows the user to add notes, and
  remarks that are important to the audit report.
  The remarks text field is limited to 255
  characters.
•          Request Correction This field allows
  the user to submit the audit report for
  correction. The Request Correction check box
  must be marked before the audit report is
  submitted. A reason for the correction is
  required.
•          Save and Submit This action saves and
  submits all changes that were made to the audit
  report. This action serves as the trigger to
  send the audit report to the next stage in the
  pipeline. It also triggers the form validation.
•          Reset This action returns all fields
  to their value when the screen was accessed.
  This action does not leave the edit screen.
•          Cancel This action cancels any change
  made to the form and leaves the edit audit screen

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WORKFLOWPlan
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WORKFLOWResolve

• The resolve stage requires the ACO to input the
  Actual resolution date.
• Required Fields
• n         Resolution Actual Date
• Optional Fields
• n         ACO Opinion
• n         Updated Amount Questioned / Avoidance
• n         Common Actions
• Business Rules
• n         The Resolution Actual Date can not be a
  future date.

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WORKFLOWResolve
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WORKFLOW StageDisposition or Deferral

• The disposition stage of the pipeline allows an
  ACO to disposition or defer audit report action.
  If an audit report is selected to be deferred the
  ACO must select a Reason to Defer from the drop
  down menu and enter a Deferred Action Request
  date. Otherwise the Disposition Actual Date is
  required.
• Required Fields
• n         Disposition Actual Date Or
• n         Deferred Action Date
• n         Reason to Defer
•          Litigation
•          Criminal Investigation
• Optional Fields
• n         Sustained Amount
• n         Updated Amount Questioned / Avoidance
• n         ACO Opinion
• n         Common Actions
• Business Rules
• n         The Disposition Actual Date can not be
  prior to Resolution Date
• n         The Disposition Actual Date can not be
  a future date
• n         Either Disposition or Reason to Defer
  and Deferred Action Date is required
• n         Deferred Action Date can not be prior
  to Audit Issue Date
• n         Deferred Action Date can not be prior
  to Resolution Actual Date for Litigation

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WORKFLOW Disposition or Defer
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WORKFLOWDisposition after Deferral

• At this stage in the pipeline, an audit report
  record can only be dispositioned. The
  Disposition Actual Date is required before the
  audit report can proceed to the next stage.
• Required Field
• n         Disposition Actual Date
• Business Rules
• n         The Disposition Actual Date must be
  after the Resolution Actual Date
• n         The Disposition Actual Date can not be
  a future date
• n        An audit record cannot be dispositioned
  until the action for which it is deferred is
  completed (i.e. litigation or criminal
  investigation).
• Optional Fields
• Common Actions

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WORKFLOWDisposition after Defer
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WORKFLOWForward (Send Document)

• Forward refers to the memo that the ACO sends to
  DCAA signifying that he/she has completed their
  follow-up work.
• Forward means that the ACO has taken all action
  on an audit report.
• Required Field
• n         Document Forward Date ( Once entered,
  record closes.)
• Business Rules
• n         The Document Forward Date must be equal
  to or after the Disposition Actual Date.
• n         The Document Forward Date can not be a
  future date.
• n         Save and Submit
• Optional Fields
• n         Remarks
• n         Request Correction
• n         Reset clears fields so data can be
  re-entered.
• n         Cancel

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WORKFLOWForward (Send Document)
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WORKFLOWForwarded (Archived)

• Forward Last Action for the audit follow-up
  record.
• This action actually closes the audit report
  once the Forward date is enteredthe audit is no
  longer accessible for editing from the
  application. Audit reports in this stage can
  only be viewed.
• IAW DoDD 7640.2 Para. 6.5 Notification of Final
  Disposition of Contract Audit Reports ..
  instructionscontracting officer shall promptly
  prepare a memorandum covering the disposition of
  all reports. ..
• A copy of the memorandum shall be provided
  to the cognizant contract auditor when an audit
  report is closed.

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Corrections

• Corrections can be done anytime during the
  workflow/pipeline
• Check the Request Correction check box and
  provide a brief description of what needs to be
  corrected.
• Hierarchy or Sequence CMO CAFU Monitor, to
  District CAFU Monitor or HQ CAFU CMO . When sent
  for correction, certain allowable fields are
  editable.
• n         Assign to a different DoDAAC
• n         Change the pipeline status of the audit
  report- (I.e.,Planning to Resolution)
• n         Change report class( Reportable to
  Non-Reportable)
• n         Modify Sustained Amount and Updated
  Cost Questioned
• n         Assign to a different ACO
• n         Modify target and resolution dates
• Required Fields
• n         Not Applicable
• Business Rules
• n         System will not check for proper format
  of DoDAAC and ACO code.
• n         System will validate date according to
  the selected pipeline position.
•          Example If Plan is selected then the
  business rules for that state apply.

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Corrections
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MY WORK

• My Work displays the workload that has been
  assigned to an individual Monitor or ACO. This
  page provides
•          Access to edit an audit report record
•          Access to view an audit report record
•          Audit Issue Date
•          Access link to view a contractors
  profile
•          The Disputed Amount
•          The action that is required
•          The date the report was last updated
•          Access Record Scroll through the list
  of audit reports

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MY WORK

• The actions that a user can perform from this
  page are
•          Access View Audit Screen
•          Access Edit Audit Screen
•          View Contractor Profile
•          Sort by Column Header
•          Scroll through audit report list

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MY WORKView Audit Report

•       Click on a Report Number

The View Audit Follow-Up page will be displayed.
Note No fields are active in the view mode
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MY WORKView Audit Report (cont)

• View Audit Follow-Up Actions
• This screen displays all of the information about
  an audit report. None of the fields are
  editable.
• Primary actions
•          Print the audit report
•          Switch to edit mode

Note The Edit option will not be available if
you are not authorized to edit the audit report.
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MY WORKEdit Audit Follow-Up

• Click the edit link.
• The Edit Audit page will be displayed with the
  appropriate fields editable. Editable fields are
  determined according to the position of the audit
  report in the pipeline. For example (see picture
  below), this audit is in the Plan stage of the
  pipeline, so the editable fields are Resolution
  Target Date and Disposition Target Date.

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MY WORKEdit Audit Follow-Up (cont)

• Common Actions
• There are common actions that can be performed in
  most pipeline positions. Those actions are
•          View Contractor Profile Links to the
  contractor profile.
•          Auditor Name Allows the user to
  change the auditors name
•          Auditor Phone Number Allows the user
  to change the auditor phone number.
•          Input Remarks This is an open entry
  text field that allows the user to add notes, and
  remarks that are important to the audit report.
  The remarks text field is limited to 255
  characters.
•          Request Correction This field allows
  the user to submit the audit report for
  correction. The Request Correction check box
  must be marked before the audit report is
  submitted. A reason for the correction is
  required.
•          Save and Submit This action saves and
  submits all changes that were made to the audit
  report. This action serves as the trigger to
  send the audit report to the next stage in the
  pipeline. It also triggers the form validation.
•          Reset This action returns all fields
  to their value when the screen was accessed.
  This action does not leave the edit screen.
•          Cancel This action cancels any change
  made to the form and leaves the edit audit screen

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MY WORKEdit Audit Follow-Up (cont)
Cancel Changes
View Contractor Profile
Change Auditor Name Phone Number
Input Remarks Request Correction
Save and Submit, Reset

• All other changes or modifications an ACO or
  Monitor can make on an audit, depends on the
  position of the audit in the pipeline. (For more
  information on the pipeline see Workflow.) 
• Note An asterisk () next to an input field
  denotes that an input is required before an audit
  report can be submitted to the next stage in the
  pipeline. For example

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MY WORKView Contractor Profile

• From the My Work and the Audits pages click on
  the Contractor Name.

The Contractor Profile pop-up window will appear
listing the information for the contractor, if it
is available.
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MY WORK(ACO) Sort by Column Header

• This feature allows the user to arrange the audit
  reports according to the column headers.
• ACO View

ACO only has his or her audits listed in the ACO
View.
n        Report Number Arranged from least to
greatest n         Issue Date From first in to
most recent n         Contractor Alphabetically,
from A to Z n         Amount From least to
greatest n         Action According to pipeline
status (Workflow), from Verified to
Archived n         Last Updated From oldest to
newest
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MY WORK(Monitor) Sort by Column Header (cont)
Monitor View
Monitor can view all audit reports in the
workgroup

• n         Report Number Arranged from least to
  greatest
• n         Issue Date From first in to most
  recent
• n         Contractor Alphabetically, from A to Z
• n         Type Alphabetically according to
  audit code
• n Pipeline According to pipeline status
  (Workflow), from Verified to Archived

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MY WORK Record Scroller

• The record scroller displays the current records
  you are viewing (up to 10 per screen).

It allows the user to click to view the Next or
Previous set of records or select the set of
records to view by selecting from the drop down
menu.
Record Scroller
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Milestones

• Milestones are intermediate steps in the
  follow-Up process associated with an audit.
• Milestones are used to extend target dates for
  Resolution and/or Disposition

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Milestone Screen - Entry

• Access the Audit Milestones page by clicking on
  the audit report number from My Work to access
  the View Audit Follow-Up page.
• Adding Milestones
• ACOs can add milestones to an audit currently
  assigned to you. To add a milestone, click on Add
  Milestone from the audit milestone page
  (instructions above).
• Select the type of milestone, the target date,
  and the remarks. The type of milestone you can
  add depends on the pipeline position of the audit.

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CAFU Reports - Access

• Two ways to access/ to View Reports
• Go to Etools on DCMA Home Page and click on
  Reports, then go to CAFU
• If user is already in Etools CAFU, then go to top
  menu bar on CAFU Home Page in Etools and click on
  Reports

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Reports Menu

• Partial listing of Reports available
• CAFU Individual Contract Audit Inquiry
• Over 12 Months
• 6 to 12 Months
• Less than 6 Months
• Closed Reports
• CAFU Summary by Type of Audit
• CAFU Summary of All Audits
• CAFU Unresolved over 12 Months

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Example of CAFU Reports Pick List
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CAFU Report Example for CMO
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Etools HelpCAFU Users Manual

• Etools Training Feature for CAFU
• Log on to DCMA Home Page,
• Chose Training, then choose CBT
• http//home.dcma.mil/CBT/training.htm
•    Click on CAFU then go to Resources Link to
  the CAFU Users Manual. It is on the Resources
  page- 1st item on list.
• Other Menu choices Frequently Asked Questions

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AUDIT TYPES

• A - Estimating System Survey
• B - Accounting System Survey/ Internal Control
  Reviews
• C- Claims (100k and above)
• D - Defective Pricing Review
• E - Cost Accounting Standards Noncompliance
  Review (includes any subsequent CAS Change Cost
  Impact Reviews)
• F - Operations Audit (100k and above)
• G - Incurred Costs(100k and above)
• H Contractor Insurance Reviews (CAS or 100k
  and above)
• I - Final Pricing Submissions
• J - Termination Settlement

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IF YOU NEED HELP

• Your local CMO CAFU Monitor
• District Monitors
• DCMA East Barry Levy [phone]
• DCMA West Mike Yancy [phone]
• DCMA Intl. Donne Howell [phone]

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QUESTIONS
?