$TXT Created by BAUMANN,SCOTT A at DEVVPP.FO-ALBANY.MED.VA.GOV (KIDS) on Monday, 04/11/11 at 14:21 ============================================================================= Run Date: MAY 31, 2011 Designation: FB*3.5*117 Package : FB - FEE BASIS Priority: Mandatory Version : 3.5 SEQ #105 Status: Released Compliance Date: JUL 01, 2011 ============================================================================= Associated patches: (v)FB*3.5*61 <<= must be installed BEFORE `FB*3.5*117' (v)FB*3.5*116 <<= must be installed BEFORE `FB*3.5*117' (v)PRC*5.1*152 <<= must be installed BEFORE `FB*3.5*117' Subject: 1358 SEGREGATION OF DUTIES Category: - Enhancement (Mandatory) - Data Dictionary - Routine Description: ============ ************************************************************************ * If your site is using the Fee Basis Claims System (FBCS), you must * * install DSIF*3.2*17 immediately after installing FB*3.5*117 to * * avoid application/processing errors. If your site is not using * * FBCS, there is no need to install the FBCS patch. * ************************************************************************ This patch enhances VistA Fee Basis to enforce segregation of duties when payments are certified. This patch addresses the following New Service Request (NSR): ------------------------------------------------------------- 20080801 Enhancing Internal Controls and Reporting Capabilities for 1358 Misc Obligations: Implements adequate controls with respect to segregation of duties and oversight by contracting officials, improving documentation requirements, and enhancing 1358 reporting capabilities within Integrated Funds Distribution, Control Point Activity, Accounting and Procurement (IFCAP) that will be used at the station, Veterans Integrated Service Network (VISN), and enterprise levels. A Government Accountability Office (GAO) review questioned VHA's internal control standards governing the authorization and use of miscellaneous obligations as well as oversight abilities. Direction by the Congressional Oversight Committee of the House. GAO Report - GAO-08-1056T Improvements Needed in Design of Controls over Miscellaneous Obligations, July 31, 2008. Department of Veterans Affairs Memorandum, Interim Memos (Interim Guidance on Miscellaneous Obligations, VA Form 4-1358, dated January 30, 2008 AND Department of Veterans Affairs Memorandum, Revised Guidance for Processing of Miscellaneous Obligations, VA Form 4-1358, dated May 18, 2008. The changes made by this patch are described below: 1. ENFORCE SEGREGATION OF DUTIES FOR CERTIFIER ROLE ------------------------------------------------ After this patch is installed, the Release a Batch [FBAA SUPERVISOR RELEASE] option will not allow the user to release a payment batch if they are the requestor, approving official, or obligator of the 1358 obligation (initial obligation and any adjustments) associated with that batch. Fee Basis will call an IFCAP application programming interface (API) UOKCERT^PRCEMOA to make this determination per Integration Agreement #5573. The IFCAP API is added by patch PRC*5.1*152 which must be installed prior to this Fee Basis patch. 2. ADD FEE 1358 SEGREGATION OF DUTIES REPORT ----------------------------------------- This patch adds the Fee Basis 1358 Segregation of Duty Report [FB SEG DUTY RPT] to the Supervisor Main Menu [FBAA SUPERVISOR OPTIONS]. A description of the new option follows: This report reviews fee invoice certification events and determines if there was a segregation of duty violation. The certifier of a fee invoice must not be the requestor, approving official, or obligator of the associated 1358 obligation or any increase/decrease adjustments to the 1358 that were obligated before the invoice certification took place. The release of a payment batch by a fee supervisor is the certification event. The report examines all payment batches that were released during a specified period. Each batch is associated with a single 1358. The results are sorted by 1358 and within that by the date and time of an event. Three event types may be listed. Obligate - Initial obligation of the 1358 in IFCAP. Adjust - Obligation of an increase/decrease to the 1358 in IFCAP. Certify - Release of a fee payment batch associated with the 1358 by a fee supervisor. The batch number is shown. The IFCAP events have three roles (requestor, approver, and obligator). The specified reporting period is used to select released fee batches. All prior IFCAP events for the 1358 are relevant to segregation of duty and will be considered even if they precede the reporting period. If YES is entered at the "Only list 1358s with a violation (Y/N)?" prompt, only 1358s with at least one violation will be displayed. Additionally, the fee certifications (batch release) that do not violate segregation of duties will not be displayed. IFCAP and Fee Basis have been enhanced by patches PRC*5.1*148 and FB*3.5*117 to enforce segregation of duties for a 1358 so no violations are expected after installation of those patches. The Fee Basis batch data can optionally be purged by a site. The IFCAP data is normally retained for at least 7 years, but must be purged prior to 10 years since the document numbers are recycled. If the source data for this report has been purged, it will not be included in the report. Selection of a period starting 9 or more years ago may return inaccurate results due to recycling of 1358 document numbers. A sample of the new report follows: Fee Basis 1358 Segregation of Duties NOV 02, 2010@14:56:57 page 1 Including Certifications from Oct 01, 2010 TO Oct 31, 2010 for all stations 1358 DATE/TIME EVENT/BATCH ROLE NAME ---------- -------------- ----------- --------- -------------------- 500-C10003 04/24/01@16:01 OBLIGATE REQUESTOR IFCAP,CPCLERK APPROVER IFCAP,CPOFFICIAL OBLIGATOR IFCAP,ACCTECH 10/26/10@10:11 133 CERTIFIER FEE,SUPERVISOR ---------- -------------- ----------- --------- -------------------- 1 batch certification was found during the report period. 1 1358 Obligations is referenced. A violation of segregation of duties was detected on none of the 1358s 3. RETAIN TIME WHEN BATCH RELEASED ------------------------------- This patch modifies the software to store the date and time instead of just the date in the DATE SUPERVISOR CLOSED (#5) field of the FEE BASIS BATCH (#161.7) file when a supervisor releases a payment batch. This patch also adds a regular cross-reference on the DATE SUPERVISOR CLOSED field to support the new report. 4. RESTRICT DATE ON BATCH PURGE ---------------------------- This patch modifies the batch purge to require the specified purge date to be at least 18 months in the past. The batch purge is invoked by directly calling routine FBAABPG and is not associated with a menu option. Components Sent With Patch -------------------------- The following is a list of files included in this patch: UP SEND DATA DATE SEC. COMES SITE RSLV FILE # NAME DD CODE W/FILE DATA PTS -------------------------------------------------------------------- 161.7 FEE BASIS BATCH YES NO NO Partial DD: subDD 161.7 fld: 5 The following is a list of fields included in this patch: Field Name (Number) File Name (Number) ------------------- ------------------ DATE SUPERVISOR CLOSED (5) FEE BASIS BATCH (161.7) The following is a list of options included in this patch: Option Name Type New/Modified/Delete ----------- ---- ------------------- FB SEG OF DUTY RPT ROUTINE New FBAA SUPERVISOR OPTIONS MENU Use as Link Test Sites: ----------- Central Texas, TX Erie, PA St. Cloud, MN Tomah, WI Documentation Retrieval Instructions ------------------------------------ Updated documentation describing the new functionality introduced by this patch is available. The preferred method is to FTP the files from ftp://download.vista.med.va.gov/. This transmits the files from the first available FTP server. Sites may also elect to retrieve software directly from a specific server as follows: Albany ftp.fo-albany.med.va.gov Hines ftp.fo-hines.med.va.gov Salt Lake City ftp.fo-slc.med.va.gov Documentation can also be found on the VA Software Documentation Library at: http://www.va.gov/vdl/ Title File Name FTP Mode USER MANUAL FB_35_UM_REVISED_MAY11.PDF (binary) TECH MANUAL FB_35_TM_REVISED_MAY11.PDF (binary) ----------------------------------------------------------------------- ================INSTALLATION INSTRUCTIONS ================= If installed during the normal workday, it is recommended that the following selection(s) in the OPTION (#19) file, and all of their descendants be disabled to prevent possible conflicts while running the KIDS Install. Other VISTA users will not be affected. Release a Batch [FBAA SUPERVISOR RELEASE] Pricer Batch Release [FBCH PRICER RELEASE] Install Time - less than 5 minutes 1. LOAD TRANSPORT GLOBAL --------------------- Choose the PackMan message containing this patch and invoke the INSTALL/CHECK MESSAGE PackMan option. 2. START UP KIDS ------------- Start up the Kernel Installation and Distribution System Menu [XPD MAIN]: Edits and Distribution ... Utilities ... Installation ... Select Kernel Installation & Distribution System Option: INStallation --- Load a Distribution Print Transport Global Compare Transport Global to Current System Verify Checksums in Transport Global Install Package(s) Restart Install of Package(s) Unload a Distribution Backup a Transport Global Select Installation Option: 3. Select Installation Option: --------------------------- NOTE: The following are OPTIONAL - (When prompted for the INSTALL NAME, enter FB*3.5*117): a. Backup a Transport Global - This option will create a backup message of any routines exported with this patch. It will not backup any other changes such as DD's or templates. b. Compare Transport Global to Current System - This option will allow you to view all changes that will be made when this patch is installed. It compares all components of this patch (routines, DD's, templates, etc.). c. Verify Checksums in Transport Global - This option will allow you to ensure the integrity of the routines that are in the transport global. 4. Select Installation Option: Install Package(s) ------------------ **This is the step to start the installation of this KIDS patch: a. Choose the Install Package(s) option to start the patch install. b. When prompted 'Want KIDS to Rebuild Menu Trees Upon Completion of Install? NO//' Answer NO unless your system does not do this in a nightly TaskMan process. c. When prompted 'Want KIDS to INHIBIT LOGONs during the install? YES//' answer NO d. When prompted 'Want to DISABLE Scheduled Options, Menu Options, and Protocols? YES//' answer YES (unless otherwise indicated) e. When prompted 'Enter options you wish to mark as 'Out Of Order':' Enter the following options: Release a Batch [FBAA SUPERVISOR RELEASE] Pricer Batch Release [FBCH PRICER RELEASE] f. When prompted 'Enter protocols you wish to mark as 'Out Of Order':' press . ************** POST-INSTALLATION INSTRUCTIONS ************** 5. DELETE INSTALL ROUTINE FROM SYSTEM ----------------------------------- (Optional) Delete the FBXIP117 install routine. Routine FBXIP117 automatically sets the new ADS cross-reference for all existing entries in the FEE BASIS BATCH (#161.7) file when the patch is installed. The routine can be deleted after installation. *********************************************************** Routine Information: ==================== The second line of each of these routines now looks like: ;;3.5;FEE BASIS;**[Patch List]**;JAN 30, 1995;Build 9 The checksums below are new checksums, and can be checked with CHECK1^XTSUMBLD. Routine Name: FBAABPG Before: B14762556 After: B14141003 **117** Description of Changes: Modify the batch purge to only accept a date at least 18 months ago. Routine Name: FBAASCB Before: B23609721 After: B26810368 **38,61,116,117** Description of Changes: Modify the Release a Batch option to enforce segregation of duties and save the date and time in the DATE SUPERVISOR CLOSED field. Use FileMan instead of a global set to update fields #5 and #6 in the FEE BASIS BATCH file. Routine Name: FBAASDR Before: n/a After: B85549111 **117** Description of Changes: New routine that generates the Fee Basis 1358 Segregation of Duty Report. Routine Name: FBCHSCB Before: B7463731 After: B7320590 **117** Description of Changes: Use FileMan instead of a global set to update fields #5 and #6 in the FEE BASIS BATCH file. Routine Name: FBXIP117 Before: n/a After: B552645 **117** Description of Changes: Post install routine that sets the new ADS x-ref for existing batches. Routine list of preceding patches: 116 ============================================================================= User Information: Entered By : BAUMANN,SCOTT A Date Entered : OCT 21, 2010 Completed By: LYNCH,MARY F. Date Completed: MAY 25, 2011 Released By : JACKSON,SHERYL Date Released : MAY 31, 2011 ============================================================================= Packman Mail Message: ===================== $END TXT