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6 FAH-5 H-460

Processing ICASS Documents

(CT:ICASS-94; 06-03-2019)
(Office of Origin: CGFS/ICASS)

6 FAH-5 H-461 Processing workload, time allocation, and invoice documents

(CT:ICASS-94; 06-03-2019)

The service provider (SP) and customer agency representative each have an important role in the review and approval of required ICASS documents. There are three essential points in the ICASS budget process that require prompt action by the customer agency. These include the review and approval of workload counts and time allocation; initial invoice; and final invoice.

NOTE: At posts with an alternate service provider (ASP), the ASP follows the same processes identified below.

6 FAH-5 H-461.1 Processing Workload and Time Allocation Documents

(CT:ICASS-94; 06-03-2019)
(Applies to participating ICASS agencies)

a. The annual May 1 collection of workload counts is a critical first step in the ICASS calendar. The SP gathers agencies workload counts which will be used for calculating invoices in the upcoming fiscal year. The counts, and any approved modifications, are presented to customer agencies not later than June 1. Beginning from the date the counts are provided, customer agencies have 30 calendar days to review and approve their respective workload counts and modifications. Problems should be discussed and resolved as early as possible with the SP or brought to the post budget committee (BC) (or in the absence of a BC, the council) and resolved prior to the end of the 30-day review period. The approved workload counts and modifications should be finalized by July 1.

NOTE: The post BC, customer agency, or SP may refer technical questions on workload counts or modification issues to the ICASS service center (ISC) at ICASSServiceCenter@state.gov and title the message Workload Inquiry.

b. Customer agencies authorize their workload counts and time allocations for the coming year by signing the Agency Workload Approval form. Agencies that do not agree with either the time allocations or their workload counts, and cannot resolve these issues with the SP, must file a formal dispute (see 6 FAH-5 H-462.1).

c. It is important that customer agencies authorize their workload counts by signing the Agency Workload Approval form. If the SP has not received the signed Agency Workload Approval form or a formal dispute by the close of the 30th calendar day, the SP should contact the ICASS Service Center (ISC) for assistance in resolving the outstanding approval.

d. Upon receipt of all signed Agency Workload Approval forms or documentation of a dispute, the SP submits to the ISC the Workload and Time Allocation Data Call Plan. This information is compiled by the ISC in a series of reports which are provided to the agencies headquarters for use in projecting upcoming fiscal year ICASS costs. These workload counts and modifications, unless in dispute, may not be changed except in certain circumstances as outlined in 6 FAH-5 H-333.3, and will be used as the basis for calculating the agencys upcoming post ICASS invoices. The workload counts may be revised for changes and/or corrections in the initial budget as per 6 FAH-5 H-333.3; however, once the workload counts are approved in the initial budget they may not be disputed in the final budget.

6 FAH-5 H-461.2 Processing Post Invoices

(CT:ICASS-94; 06-03-2019)
(Applies to participating ICASS agencies)

a. After the ICASS council (IC) has ratified the initial/final budget, the SP electronically distributes the required documents for agency review and approval. If an out-of-office response is received from an agency representative, the SP must immediately forward these documents to those listed on the message. If the out-of-office message does not provide additional contact information, the SP must forward the documents to the Washington bill paying office indicated on the Invoice by Agency report. The SP must attach to the email, all supporting documents that were forwarded to agencies prior to the budget review and ratification meeting.

b. ICASS customer agency representatives have 10 business days to approve by signing the Invoice by Agency documents and returning the signature sheets to the SP. The first business day is considered to be the day after the material is issued by the SP. Within the 10 business day window, customer agencies' representatives who determine that they will not sign the invoice must submit a formal dispute to the SP (see 6 FAH-5 H-462.2).

c. If the SP has not received from the agency either a signed Invoice by Agency document or a formal dispute by the close of the 10th business day, the invoice is considered de facto authorized. The SP should then submit the budget and save a copy of the communication for the files.

d. The SP must retain a copy of all invoice authorizations for 5 years. For invoices that are de facto authorized, the SP must retain a copy of the communication and copies of any forwarded communications to those listed on an out-of-office email as evidence of having made a good faith effort to make contact with an agency. For disputed invoices, the SP must save related communications until the dispute is resolved and a copy of the signed invoice is received.

e. At the close of the budget cycle, the ISC will provide a list to the IWG representative, or to the bill-payer point of contact if the agency has no IWG representative of the de facto authorizations for their future reference and follow-up.

6 FAH-5 H-462 Dispute Process

6 FAH-5 H-462.1 Disputes Regarding Workload Counts and Time Allocations

(CT:ICASS-94; 06-03-2019)
(Applies to participating ICASS agencies)

a. If an agency and service provider (SP) are unable to resolve an issue regarding time allocations or their workload counts and/or modifications, during the 30 day workload count and time allocation review period, the agency must notify the SP of their intent to file a formal dispute for review by the post BC. The disputing agency must prepare a memorandum to the BC outlining the issue(s) and their position; the SP must also provide a written justification for its position and provide appropriate policy references from the ICASS Handbook (6 FAH-5).

b. If either party to the dispute does not accept the BCs recommendation, the SP forwards the dispute to the ISC (at ICASSServiceCenter@state.gov) for resolution. The ISC will review the dispute and supporting policy, make a determination, and notify post of the results. If necessary, the ISC will engage the agencys headquarters to assist in resolving the dispute.

c. The SP must submit the posts Workload and Time Allocation Data Call Plan to the ISC by the established due date. In a separate email sent to CGFSICASSWorkloadData@state.gov, post must confirm that all agencies have signed their workload counts or submitted a dispute. If all agencies have approved and signed their workload counts and time allocations, the email should be entitled, POST NAME: May 1 Workload Count Approval Confirmation COMPLETE; no text is necessary. If a dispute is not resolved by the deadline for submission, the email should be entitled, POST NAME: May 1 Workload Count Approval Confirmation INCOMPLETE. If the status is incomplete, the text of the email must provide a list of the outstanding agencies and note the following: agency code, agency name, agency representatives name, and the reason for the dispute:

(1) The ISC will grant post additional time to resolve any outstanding disputes and will serve as a consultant with the agencys ICASS working group (IWG) representative, as appropriate. All workload and/or modification disputes must be resolved by August 1;

(2) For the rare dispute that is not resolved by August 1, any workload and/or modification changes that may result will be incorporated in the initial budget invoice and post will not be required to resubmit its Workload and Time Allocation Data Call Plan; and

(3) In cases where a dispute results in changes to the workload counts or modifications, the SP will prepare a new Workload Detail report with the revised workload counts for signature by the disputing agency representative. These counts are the agencys official workload counts for the upcoming fiscal year and may no longer be disputed.

6 FAH-5 H-462.2 Disputes Regarding Post Invoices

(CT:ICASS-94; 06-03-2019)
(Applies to participating ICASS agencies)

a. Upon completion of the initial budget and approval by the post BC and ICASS council (IC), customer agencies will receive their initial budget invoice (in November/December). The invoice is based on the approved workload counts and modifications signed in June/July and is updated as outlined in 6 FAH-5 H-333.2 or for any workload counts that were changed as a result of the dispute process but were not incorporated in the submitted budget plan. Agencies are given 10 business days, from the date of issuance of the invoices, to review and approve their invoices. Because any change to one agencys invoice will mean a change to all invoices, all issues should be brought to the immediate attention of the SP for resolution.

NOTE: Charges shown in the initial budget invoice, signed and approved by the authorized customer agency representative, may not be disputed in the final budget invoice. Disputes on a final invoice may only relate to charges that were not reflected on the initial budget invoice.

b. If an issue cannot be resolved with the SP and the agency elects not to sign its invoice and initiate a dispute, it must be formally presented to the post BC for review and resolution before the end of the 10-day review period. The disputing agency must submit a written explanation of the dispute to the BC and SP; the SP must also provide a written explanation for its position regarding the correctness of the invoice. Insufficient time to review the invoice is not considered a valid reason for a dispute:

(1) Within the 10-day period, if an agency representative at post fails to respond to the request for signature and has not filed a dispute, the SP will assume de facto approval of the invoice (see 6 FAH-5 H-461.2, paragraph c); and

(2) In the event an agency has not signed its invoice but has not filed a dispute within the 10-day period, the agency may no longer dispute the invoice.

c. During the dispute review period, if the post BC is unable to reach a resolution of the dispute that is acceptable to all parties, the dispute is referred to the IC for review and resolution. If the IC is unable to reach a resolution that is acceptable to all parties, the issue is referred to the chief of mission (COM) for a determination. If any party to the dispute is not satisfied with the COM decision, that party has the right to appeal the decision to the ICASS Executive Board (IEB) in Washington.

d. If the dispute is resolved at the post level, post must take action to submit a revised budget, if necessary, and submit a revised summary of signed invoices. If post is unable to resolve the dispute, the SP must advise the ISC by formal cable that the post has exhausted its options to resolve the dispute at the post, including the fact that the COM has made a determination and the agency is appealing that decision to the IEB. The IEB will only accept such appeals if they are submitted to the ISC in a front-channel cable and they reflect the views of all parties to the dispute, including that of the COM. The disputing agency and SP, coordinating with their respective headquarters agency, may submit additional information, as appropriate. The cable must be slugged For ICASS Service Center and have the TAGS AFIN, KICA, AMGT.

NOTE: If the post does not submit a new budget and summary of signed invoices by the end of the dispute review period, and no dispute has been submitted to Washington, the post will be assessed the one percent penalty (see 6 FAH-5 H-441).

e. Only the IEB can review and adjudicate a COM determination. Upon receipt of the formal cable appealing the COMs determination, the ISC will review the documentation and request any additional information needed for the appeal. The ISC will prepare a memo summarizing the dispute and outline options for IEB review; copies of the memo will be provided to:

(1) All IEB members;

(2) The IWG member representing the disputing agency;

(3) The Department of State SP representative; and

(4) The executive director of the affected Department of State bureau.

NOTE: The appealing headquarters agency can decide, at any time prior to formal decision by the IEB, to rescind its appeal as submitted by its post representative by agreeing in writing to pay the invoiced amount.

f. If the IEB rules in favor of the SP and deems the invoice correct, the agency must sign the invoice thereby authorizing payment. The ISC will notify post of the IEBs decision and no changes will be made to the budget.

g. If the IEB rules in favor of the disputing agency, the post council and SP will be informed and one of the following actions will take place:

(1) If the dispute concerns an initial invoice, post will work with the ISC to determine if there is time to resubmit the budget before the Washington consolidated informational invoices are prepared:

(a) If a new budget and invoice summary is submitted, post will incorporate the approved changes and distribute new informational invoices to the customer agencies; no signatures will be required;

(b) If there is not time to resubmit the budget, post will incorporate the approved changes in the final budget. In order to document the impact of the dispute resolution on the other agencies, post should prepare a What If budget incorporating the changes and distribute new informational invoices to the agencies; no signatures will be required;

(2) If the dispute concerns a final invoice, post will work with the ISC to determine if there is time to resubmit the budget and new summary of signed invoices before the Washington consolidated invoices are prepared:

(a) If a new budget and invoice summary is submitted, post will incorporate the approved changes and distribute new final invoices to the customer agencies; no signatures will be required; and

(b) If there is not time to resubmit the budget, the ISC will use available ICASS global database information (GDB) to calculate invoice adjustments for agencies which were present at post in the year the dispute took place. These adjustments will appear the next fiscal year as a separate line item in the initial and final consolidated invoices transmitted to customer agencies.

6 FAH-5 H-462.3 Procedures for Disputes Concerning Centrally Budgeted Costs

(CT:ICASS-94; 06-03-2019)
(Applies to participating ICASS agencies)

a. Only headquarters agencies may dispute centrally budgeted costs.

NOTE: The only exception is for a post invoice that was signed by an unauthorized individual; such cases may be disputed by the headquarters agency.

b. Headquarters agencies must file invoice disputes with the ISC within 30 days of transmission of the invoice to be considered a valid dispute. The disputing agency must submit a written explanation of the dispute to the ISC.

NOTE: Initial invoices are for informational purposes and headquarters agencies must review all charges for accuracy. Issues and problems should be raised immediately with the ISC. An agency may not dispute a charge in the final invoice that was included in and not disputed in the initial invoice.

c. The ISC will collect all disputes filed by agencies and submit them to the Washington BC for review and resolution as soon as possible following the expiration of the 30-day period. This submission will also include the ISCs written justification for its position regarding the disputed charges. The Washington BC, representing the ICASS working group (IWG), will act in the same capacity as the post BC, ruling on the validity of the agencys dispute of centrally budgeted costs in an agency's consolidated invoice. The ISC will inform the IWG of all Washington BC decisions regarding agencies billing disputes.

d. Where the Washington BC rules in favor of the ISC-produced invoice, no further action is required on an initial invoice. If it is for a final invoice, the agency will sign its invoice.

e. Where the Washington BC rules in favor of the agency, all agencies will be informed and revised initial informational invoices will be prepared showing only the changes in the cost element involved. These changes will be reflected in the final consolidated invoices.

f. If the dispute relates to a final invoice, the amount in dispute will be distributed among ICASS customer agencies in the following fiscal year and will appear as a separate line item on the consolidated invoice. The ISC will redistribute the adjusted amount to ICASS customer agencies according to the appropriate methodology for the disputed cost element.

g. Should either party disagree with the Washington BCs determination, it may appeal that decision to the IEB, which will adjudicate the dispute. The ISC will prepare a memorandum summarizing the nature of the dispute and outline options for resolution. Any resulting adjustments to the invoice amounts will be redistributed as described in 6 FAH-5 H-462.3, paragraph f.

6 FAH-5 H-462.4 Procedures for Disputes Regarding Service Quality

(CT:ICASS-94; 06-03-2019)
(Applies to participating ICASS agencies)

a. While disputes related to service quality do not necessarily relate to the post budget and invoices, there may be linkages if resolution of the dispute requires additional funding and/or positions. Disputes regarding the quality or timeliness of services are handled at the post level. Because each post presents unique challenges, the SP and customer agencies are best positioned to address issues related to service quality. As outlined in 6 FAH-5 H-022, each customer agency is responsible for bringing issues related to service quality to the attention of the SP, either verbally or in writing. As outlined in 6 FAH-5 H-032, the SP is responsible for addressing any complaints regarding service quality with the agency representative and seeking appropriate resolution.

b. If such discussions do not resolve the issue, it should be presented in writing to the post council for review and discussion. Post should ensure that the uniform service standards are used as the basis for any discussion on service quality or timeliness. The council may decide to form a special working group to explore the issue or may work directly with the SP to examine ways to improve service. The council may consider conducting targeted surveys of all customers using the service in question to solicit ideas for improving service. The goal is to establish an open dialogue to address the issues being raised and identify viable options for service improvement.

c. The council, working with the SP, will review the issue and discuss options for addressing service improvement and set milestones for implementation.

d. Posts should ensure that all available tools for evaluating services (i.e., ICASS Customer Satisfaction Survey, local surveys, eServices etc.) are used to review and assess service quality. Post should ensure that any corrective actions needed are reflected in the Annual Performance Assessment (see 6 FAH-5 H-222.3-4) prepared by the ICASS council chair and the senior management officer.

e. If post actions to improve quality of services do not bring tangible results, post may wish to consult with the ISC and the regional bureau to solicit additional ideas for improving post operations.

6 FAH-5 H-462.5 Dispute Process for Alternate-Service Providers (ASP)

(CT:ICASS-94; 06-03-2019)
(Applies to participating ICASS agencies)

a. The alternate-service provider (ASP) must follow the same procedures as the State service provider as outlined in this subchapter in documenting and resolving disputes between the ICASS service provider and ICASS council. Dispute documentation sent with budgets to the ICASS service center (ISC) should bear the signature of the ICASS council chair and the highest ranking management official for the ASP.

b. The ISC serves as the secretariat for recording ICASS service provider and customer adherence to deadlines specified for giving notice of disputes. It also serves as the secretariat to the ICASS Executive Board (IEB) in notifying members that a dispute has arisen and requires IEB action to determine a resolution.

6 FAH-5 H-463 through h-469 unassigned

UNCLASSIFIED (U)