USARC FAD System

Redesign of a DOS xBase system to a Windows NT object-oriented client-server system.

• 1. Introduction *
  • 1.1 Purpose *
  • 1.2 Scope *
  • 1.3 Definitions, Acronyms and abbreviations *
  • 1.4 Background *
  • 1.5 References to Related and Supported Documents *
  • 1.6 Overview of System *
• 2. General Description *
  • 2.1 Product Perspective *
  • 2.2 Product Functions *
  • 2.3 User Characteristics *
  • 2.4 General Constraints *
  • 2.5 Assumptions and Dependencies *
• 3. Specific Requirements *
  • 3.1 Functional Requirements *
  • 3.2 External Interface Requirements *
• 4. Appendix A – Requirements Model *
• 5. Appendix B – Preliminary User manual *
• 6. Appendix C – Current System Documentation *

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   Introduction

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   1. Purpose

      This is a redesign of an existing system. The redesign was a proposed project at the USARC which was unresourced and unscheduled. The project was approved by Comptroller and DCSIM for submission as a work-related Master's Project. This documentation, in addition to supporting the development process, contains domain specific information for non-users who might not be familiar with the terminology and concepts of the domain. The current system was developed incrementally and informally and consequently has no developmental documentation. Existing documentation of the current system was developed after the system was operational.

   2. Scope

      The system being redesigned is the USARC Funding Authorization Document (FAD) System. The USARC FAD System is designed to update Funding Authorization Documents (FADs) and the Budget Manpower Guidance (BMG) Database with a single input stream. Automation of the process also makes it possible to provide remote tracking of the FAD preparation process, electronic submission of FAD input by program directors, electronic notification of long remarks blocks and automatic generation of Intranet Web pages.

      Redesign Goals are:

      • Ensure future maintainability.
      • Take advantage of the Windows NT user interface.
      • Take advantage of the USARC LAN/WAN.
      • Use a design process that includes user input.
      • Develop in congruence with the USARC Architecture, which is object oriented and multi-tier client server.

      Users have expressed a desire to use the initial FY 1999 funding distribution as a test of system capabilities. This goal requires substantial completion of the system by mid-July 1998.

      Required features:

      • Ability to handle emergency (out of cycle) FADs
      • Reports that provide all of the information needed
      • Ability to load distribution created outside the system
      • Relieve Users of the Administrative burden of keeping edit files up to date
      • Ensure that field edits are uniform across all users

      Desired features:

      • Be able to track fund transfers: internal and external
      • Updating the funding status of Unresourced Requirements (URR)

   3. Definitions, Acronyms and abbreviations

      • AFP - Annual Funding Program. AFP is contained on the FAD and is the basis for programmatic funding decisions. However, AFP actually represents the planned funding level for the year. No funds may be expended against AFP.
      • Allotment/Allocation/Allowance - Allotment is the actual level of funding available for expenditure on the FAD. Allotment is generally issued quarterly to control the rate of expenditure. At the end of the year allotment will equal AFP. Allotment is a legal control issued by an Operating Agency to an ASN. The USARC actually issues Allowance rather than Allotment. The two are equivalent except that legal liability is retained at HQ USARC under the Allowance concept. Allocation is the equivalent funding received by an Operating Agency. This document uses the term 'Allotment' for all three concepts.
      • ASN - Allotment Serial Number. This is a unique identifier of the FAD Holder.
      • BMG - Budget Manpower Guidance. The BMG maintains a database of all the funding distribution decisions made by HQ USARC. The term 'Manpower' is a legacy, there is no manpower data in this database.
      • Controls - a generic term for a funding amount which limits the aggregate total at some organizational or program level.
      • DA - Department of Army.
      • FAD - Fund Authorization Document or Fund Allowance Document. A legal, controlling document that specifies the level of funding available to an organization. The difference between the two variants is in the location of legal liability (see Allotment) and does not affect system function.
      • FAD Holder - an organization receiving a FAD. This is not a common domain term, but there are a number of types of organizations receiving FADs from the USARC and this term eliminates the need for long concatenations of organization types.
      • Fund Recipient - an organization specifically identified for the receipt of funds, but not necessarily a FAD Holder. There is a fixed set of Fund Recipients that varies slightly over time. There is a single FAD Holder for a given Fund Recipient.
      • Limitation - a legal limitation on the use of funds for a specific purpose. The Limitation may limit the amount that can be spent, require that a minimum amount be set aside or require that an exact amount be set aside for the Limitation purpose.
      • PBAC - Program Budget Advisory Committee. This is a senior level committee that makes resource management recommendations to the commander. Much of the work of the PBAC is done by a working level group called the Working PBAC.
      • PBAS - Program Budget Accounting System. This is the official FAD system.

   4. Background

      The USARC is a Major Subordinate Command of the U.S. Army Forces Command with command and control of U.S. Army Reserve forces in the Continental United States. The Headquarters of the USARC is located on Fort McPherson, GA. The Headquarters is made up of command and staff elements. The staff elements are divided along functional lines such as Comptroller, Operations, Logistics, etc., and manage programs related to their functional area. In general, these programs are then executed by subordinate commands which are located throughout the country.

      Although the Comptroller is responsible for the financial management functional area, money is a controlling resource for most other programs. Since program managers must control the resources needed to accomplish their program, they, too, have financial management responsibilities. In this role, the major staff elements are termed Program Directors. The Comptroller and the Program Directors form a senior management body called the Program Budget Advisory Committee (PBAC). The PBAC makes recommendations to the USARC Commander on the broad allocation of funds between programs. Generally Program Directors are allowed to determine allocations within their program.

      In the context of Army Financial Management, the USARC is an Operating Agency – responsible for receiving funding directly from Headquarters Department of Army and distributing funds to subordinate commands. The means of receiving and issuing funds is an electronically generated Fund Authorization Document (FAD).

      While the actual responsibilities of the USARC extend to directing activities which cause the expenditure of funds and the monitoring of these expenditures, the scope of the FAD System is concerned solely with the distribution of funds. In overly simplified layman's terms, the FAD System is responsible for making deposits and withdrawals to/from the bank accounts of the USARC's subordinate activities. The writing of "checks" on these accounts is accomplished by the activities.

      The general sequence of activities in the FAD process is as follows:

      • The USARC receives a DA FAD or preliminary funding guidance which determines the total amount of AFP, Allotment and Limitation available.
      • The Comptroller divides available AFP into undistributed accounts.
      • AFP from undistributed account is issued to Funding Recipients by Program Director.
      • Distribution is approved by Program Director and passed to Comptroller.
      • Comptroller accumulates Program Director distributions and issues FAD to FAD Holder.
      • Comptroller confirms that revised funding distribution agrees with official accounting reports.
      • Comptroller approves transactions and passes to BMG.

   5. References to Related and Supported Documents

      Baldwin, James R., "The USARC FAD System," Unpublished internal documentation, 1996.

      Lhotka, Rockford, Professional Visual Basic 5.0 Business Objects. Birmingham, England: Wrox Press, Ltd., 1997.

   6. Overview of System

      The remainder of this requirements specification contains a narrative description of the system and its functionality, information about the system's users and various constraints and assumptions. Attachments include the current system's documentation, a requirements model in Universal Modeling Language (UML) notation and a preliminary users manual.

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2. General Description

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   1. Product Perspective

   The FAD System enables Program Directors to submit funding changes to Comptroller for issuance through a second system called PBAS (Program Budget Accounting System). The Program Directors make decisions about which funding changes to make, but Comptroller actually executes those decisions by issuing a FAD. The FAD System gathers and summarizes data from multiple Program Directors for each activity receiving a FAD. This data is used by Comptroller to issue FADs in PBAS. Certain data can be loaded directly into PBAS using ASCII upload or Windows cut and paste. In order to reduce the number and frequency of FADs issued, funding changes are normally accumulated and FADs are issued on a weekly basis. Occasionally, emergency FADs are issued outside the normal weekly cycle.

   The official FAD system, PBAS, is not designed to accept automated input and only retains sufficient information to insure that no legal fund control restrictions are violated in the issuance of a FAD, e.g., it will not allow the USARC to issue more funds than are available. The disadvantage to this is that the only transaction halted is the last one. In this case, all previous pending FADs might have to be canceled and reissued when the reason for the failure is corrected. The USARC FAD System allows the Budget Analyst to inspect the overall impact of a sequence of FADs, and if there is a problem, correct only those transactions that caused the problem.

   The USARC FAD System makes use of a minimal set of ledgers similar in scope to those maintained by PBAS, but it passes all FAD transactions, with full program information, to an external database called BMG (Budget Manpower Guidance). The BMG allows analysts to trace the history of program funding in total or for a given activity. The current FAD System also posts summary fund distribution information to the Comptroller Intranet, which is accessible to Program Directors and subordinate commands.

   2. Product Functions

      • Initiate new FY. Before a Fiscal Year begins, COMPTROLLER develops Funding estimate for coming Fiscal Year based on HQDA/OCAR guidance and other information. Enters Funding estimate into system. Program Directors review estimate. Adjust within program. Funding estimate is submitted to PBAC for distribution. PBAC changes distribution among programs. COMPTROLLER adjusts funding distribution based on PBAC direction. Enters changes into system.
      • PBAC Changes fund Distribution. At any time during a Fiscal Year, the necessity to change the current Funding distribution between programs may arise. Requirements are submitted to PBAC to determine redistribution. COMPTROLLER adjusts funding distribution based on PBAC direction. Enters changes into system.
      • DA FAD Increases/Decreases Funding. During the Fiscal Year, DA FADs are received, increasing or decreasing available Funds. If the changes are program specific, COMPTROLLER enters changes into the system. Otherwise, PBAC Changes Fund Distribution.
      • Field Activity requests Funding Transfer. Field Activity enters requested change into system. Transmits to Program Director.
      • Program Director Processes Funding Transfer Request. Program Director receives request. Decides whether to accept requested change. Enters response to requested change into system.
      • Program Director Issues/Withdraws Funds. Program Director determines the Funding level at a Field Activity requires adjustment. Program Director enters change into system. Program Director transmits change to COMPTROLLER.
      • COMPTROLLER Issues FAD. COMPTROLLER receives Program Director changes. Consolidates changes. Checks for improper distribution. Enters changes in PBAS. Reconciles local Funding register with PBAS register. Update local files. COMPTROLLER Updates BMG.
      • Program Director Reprograms Funds. Program Director determines that program distribution needs to be changed. Makes changes. Enters changes into system. Transmits changes.
      • Program Director Reconciles with COMPTROLLER. Program Director compares their version of distribution with COMPTROLLER's version. Program Director and COMPTROLLER determine changes needed to reconcile. Program Director and COMPTROLLER enter changes into system.
      • Field Activity Checks on Transfer Status. Field checks to see if requested transfer has been approved and if FAD has been cut.
      • Program Director Checks on FAD Status. Program Director checks to see if FAD has been issued for transactions transmitted to COMPTROLLER.
      • Field Activity Runs Report. Field runs report: Register of FADs received, Pending FAD Transactions.
      • Program Director Runs Report. Program Director runs report: Distribution, Cutsheet, Trial Status, Approved Status.
      • COMPTROLLER Runs Report. COMPTROLLER runs report: Distribution, Cutsheet, Trial Status, Approved Status.
      • COMPTROLLER Notifies Field Activity of FAD Issue. COMPTROLLER notifies Field Activity if it has been issued a FAD.
      • Field Activity Checks for Pending FADs. Field Activity checks to see if there are transactions waiting to be sent on a FAD.
      • COMPTROLLER Updates BMG. COMPTROLLER Transmits records to BMG. Ensures that BMG remains reconciled to PBAS.
      • Program Director Updates BMG. Program Director Transmits records to BMG. Ensures that all changes are zero sum and within Program Director programs.

   3. User Characteristics

      The system will be used by professional budget analysts. Although there is no formal educational requirement, budget analysts in the USARC typically have a Bachelor level college degree and frequently have a Masters. Most have been using computers as a part of their every day work environment for a number of years. They have been using the current system for over three years.

   4. General Constraints

      System must distinguish between the various types of users, Comptroller, Program Director and Field Activity. In addition, each user has an appropriate record set, which applies to that user. Actions must be appropriate to the user and the record set.

      Hardware. The USARC standard personal computer is a COMPAQ Deskpro with 233MHz Pentium with 32 Mb RAM and 2.1 Gb hard drives.

      Network. The USARC Headquarters is tied together by a Windows NT network over fiber optics. Field activities are connected to the Headquarters over frame relay.

      Architecture. USARC applications are built using a multi-tier client-server architecture similar to that described by Lhotka. Applications are generally object oriented, web-enabled and make use of Microsoft Office capabilities.

   5. Assumptions and Dependencies

      • Development environment will be Microsoft Visual Basic 5.0 Enterprise Edition.
      • Database server will be Microsoft SQL Server 6.5.
      • An automated interface with PBAS is impractical.

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3. Specific Requirements

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   1. Functional Requirements

      A requirements model, consisting of a Class Diagram with Specifications and a Use Case Diagram with supporting Sequence Diagrams and Specifications, is attached (Appendix A).

   2. External Interface Requirements

      Preliminary Users Manual Attached (Appendix B).

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1. Appendix A – Requirements Model
2. Appendix B – Preliminary User manual
3. Appendix C – Current System Documentation