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CDFM > CDFM Module 1.1._1.2 > Flashcards

CDFM Module 1.1._1.2 Flashcards

1
Q

Congress. Gov website

A

How lawss are made, who senators are

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2
Q

US Fiscal laws are under what title?

A

Title 31 Money and Finance

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3
Q

OMB Circular A-76

A

Commercial Activities (contracting out)

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4
Q

OMB Circular A-94

A

Discount Rates

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5
Q

OMB Circular A-123

A

Internal Controls

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6
Q

OMB Circular A-136

A

Financial Statements, Accounting and authority

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7
Q

Date of first congress and constitution took effect

A

March 4 1789.

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8
Q

Date of Articles of confederation

A

March 1 1781, ratified by all 13 states

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9
Q

Separatation of power established by…

A

Articles of Confederation

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10
Q

Constitution ratified by how many states

A

9 states

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11
Q

Essential principle of the constitution

A

Government must be confined by rule of law

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12
Q

Article 1 of constitution

A

Congress and the legislative branch

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13
Q

President of the senate

A

Vice President but has no vote unless a tie

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14
Q

All bills USUALLY originate in…This is the ____ clause in article ____ section ____

A

House of representatives (origination clause), but Senate can sometimes. Artilcle 1 section 7

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15
Q

What vote is required to override presidntial veto

A

2/3 vote

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16
Q

How many days to president have when receiving a bill

A

10 days but sundays are exempt

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17
Q

(Who approves lower court system, tribunals inferior to superior court)

A

Congress

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18
Q

Article 2 of the constitution

A

Executive Branch

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19
Q

Process of treaties, appoint ambassadors, supreme court

A

president with 2/3 confirmation of the senate

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20
Q

Article 3 of constitution

A

Judicial Branch

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21
Q

State of the Union

A

Once a year address by president to justify his budget

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22
Q

Joint resolution

A

Can original in house or sentae, really no difference between bill and joint resolution

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23
Q

Change to constitution

A

Through joint resolution and takes 2/3 vote from senate and house. Then GSA submits to states for a vote, 3/4 of the states “ratify.” Never goes to the president

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24
Q

Concurrent Resolution

A

Matters affecting the OPERATIONS of BOTH house and senate.

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25
Q

Simple Resolution

A

A matter concerning the operation of house or senate but only affects ONE chamber

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26
Q

How can president initiate bill

A

Championed by congressman, or through OMB

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27
Q

Three ways to originate legislation

A

Recommended by president, members or committees

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28
Q

How an appropriation becomes a law

A
  1. Bill introduced in house 2. Referred to Appropriations Committee 3. Committee Hearing 4. Committee adopts bill 5. House adopts bill 6. similar process in Senate 7. Conference committee resolves differences 8. House and senate pass in identical form 9. President signs into law
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29
Q

A “Clean Bill”

A

An orginal bill goes to committee and is marked up so much, they just decide to submit a new bill

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30
Q

Committee report

A

Committee report is not normally part of the bill but does show the background discussion of the committee

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31
Q

“Engrossed” bill

A

Has been passed by one chamber of congress but not the other

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32
Q

“the third chamber” of congress

A

conferrence committee that is hashing out the difference between house and senate bills before going to president as unified bill

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33
Q

Conference committee restricted by

A

Cannot change what has already been agreed to, cannot insert new matter or leave out matter that was previously agreed to

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34
Q

“Enrolled” measure

A

Has been agreed upon by house and senate and is headed to POTUS

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35
Q

4 Actions POTUS can take on a bill

A
  1. Approve and sign 2. Does not sign but allows bill to become law 3. Pocket Veto 4. Veto
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36
Q

Pocket Veto

A

If president does not sign bill during 10-day period and congress is adjurned. Bill does not become law

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37
Q

If president doesn’t sign bill and congress is in session

A

It becomes law

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38
Q

Line item Veto and established by what act?

A

between 1996-1998 president had this authority but supreme court ruling said it was unconstitutional. 1996 Line item veto act

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39
Q

Phases of the Federal budget process

A
  1. Budget Formulation 2. Congressional Action 3. Budget Execution
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40
Q

When is presidents budget due to congress

A

1st Monday in February

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41
Q

This law requires POTUS to submit budget to congress

A

1974 Congressional Budget impoundment Act

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42
Q

Guidance for budget submission comes from this

A

OMB circulat A-11

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43
Q

What is an allowance letter?

A

OMB’s issued guidance as the first step in OMB Circular A-11. Based on a five year cycle

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44
Q

6 steps of budget formulation from OMB Circular A-11

A
  1. OMB Issues guidance 2. Organization develops draft 3. Agency submits budget estimates to OMB (Not DOD) 4. Beginning of September, OMB Holds hearings (DOD holds their own) 5. President makes final decisions on agency budgets 6. President transmits to congress
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45
Q

“Fall Review”

A

The internal DOD review by OSD that OMB has granted DOD an exception to do on their own. Normally between SEP and DEC. Still subject to OMB passback after this

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46
Q

OMB Passback

A

Results from OMB review of agency budget. Provided by letter. Each agency can appeal to POTUS if they disagree with OMB

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47
Q

What is budget authority and what provides it

A

An appropriation provides budget authority - the legal authority to incur obligations and make payments out of the treasury for specified purposes

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48
Q

Congessional Budget and Impoundment Act 1974

A
  1. Congress to focus on overall budget totals 2. created HBC (House budget committee) and SBC (Senate) 3. New congressional budget office (CBO) 4. Shifted fiscal year from 1JUL - 30JUN to 01OCT 5. Prohibits president from withholding funds without sufficient reason aka impoundment (deferral or rescission) 6. Sets president’s budget due date as 1st Monday of February
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49
Q

Processes during Congresional Action Phase

A
  1. The budget resolution process 2. Authorization Process 3. Appropriation Process
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50
Q

Concurrent Budget Resolution and when is it due

A

Sets caps on pieces of the presidents budget. Done by 15APR

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51
Q

Who manages the budget resolution process

A

HBC (House Budget committee) and SBC (Senate), they use the CBO analysis

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52
Q

CBO determines

A
  1. Total Budget Outlays 2. Total new budget authority 3. Public Debt 4. Surplus or defict 5. Federal Revnues
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53
Q

Scorekeeping

A

Tracks data such as budget authority ,receipts, outlays, the surplus or deficit, and the public debt limits

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54
Q

The annual appropropriation bill may not exceed the ceilings set in the ____ without ____

A

the CBR (Concurrent budget resolution)without a 60% majority vote of congress

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55
Q

Authorization provides authority for

A
  1. Programs to exist 2. Sets funding ceilings 3. Sets DOD policy 4. Sets MDAP Quantities 5. Sets End Strength Levels
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56
Q

Does authorization provide authority to obligate

A

No

57
Q

Who manage authorization process for DOD and what is end result

A

House Armed Services and Senate Armed Services Committees, National Defence Authorization Act

58
Q

Which Appropriations provide DOD funding

A
  1. Energy and Water Development 2. Defense 3. Military Construction, Veterans Affairs
59
Q

Three Steps on enactment process

A
  1. Concurrent Budget Resolution 2. Authorization 3. Appropriation
60
Q

DOD Appeals process for authorization and appropriation process. What is limit of your appeal

A

USD Comptroller appeals to Sentate, since House marks first. If Senate has marked then appeal to Conference. First limit is presbud, but if H and S have marked, you are limited by the max of those.

61
Q

If you are appropriated more than authorized, how much can you obligate

A

The appropriated amount

62
Q

Budget Amendments

A

Amends the budget submission prior to completion of congressional action, but after PRESBUD submitted

63
Q

Supplemental Request

A

Normally transmitted to congress as request to provide funds in addition to amount already appropriated (contingncy, natural disaster, etc.)

64
Q

Continuing Resolutions

A

Temporary appropriations act that is only in place until the regular appropriation is enacted; Passed by congress, signed by president. Since it is an appropriation, it must be apportioned by OMB

65
Q

What type of resolution is a CR

A

Joint resolution and signed by president

66
Q

Appropriation Warrant

A

Treasury appropriations warrant

67
Q

What is the flow of funds

A

Appropriation signed by president 2. Treasury issues Treasury Warrant 3. Agencies submit SF-132 to OMB 4. OMB apportions to Departments (OSD) 5. OSD allots to Services

68
Q

How do agencies request their apportionment and what is timeline. How long does ____ have to respond

A

Request from OMB on SF-132 within 10 days of appropriations act. OMB has 30 days after approprtions act to effect apportionment

69
Q

What is an SF-133

A

OSD reports status of appropriations, obligations and outlays on cumulative basis to OMB using SF-133

70
Q

Who prepares warrants during a CR? During normal Ops?

A

Agency submits temporary appropriations warrants in CR. During normal times, treasury does warrant

71
Q

This statute requires apportionment

A

31 USC 1512

72
Q

It is a violation of law for an agency to incur obligations or make expenditures in excess of the amount _______

A

apportioned (NOT appropriated)

73
Q

What is a deferral

A

President notifys appropriations committee of proposed deferral (withholding funds) congress has 45 days to say otherwise, OMB must still apportion with sufficinet time for agency to execute before funds expire

74
Q

What is a rescission

A

President requests Cancellation of budget authority, congress has 45 days to say otherwise

75
Q

What statute requires agency to have an accounting system

A

31 USC 1514; OMB Circular A-123 requires executive branch to implement this law; FMR Volume 14 issues DOD actions to implement this law

76
Q

Commitment accounting is required for

A

The following appropriations: Procurement, MILCON, Research Development Test and evaluation (RDT&E). But DOD does it anyway for O&M and MILPERS

77
Q

Obligation definition

A

The amounts of orders placed, contracts awarded, services received, and similar transactions during an accounting period that will require payment during the same or future periods.

78
Q

What is the number of the DOD FMR? And what does it do

A

7000.14, establishes DOD policy and procedures of administative controls

79
Q

Budget totals

A

On budget totals account for items that are appropriated. Off budget portion is excluded from the budget totals (social security trust fund and postal service). Off budget does NOT count to annual deficit

80
Q

Commitment definition

A

administrative reservation of funds. Obligation is a LEGAL reservation of funds

81
Q

Contract Authority

A

The specifc authority to incur obligations in anticipation of an appropriation. Legally over obligate

82
Q

Discretionary spending vs entitlement authority

A

Discretionary is signed in the appropriations acts, not guaranteed. Entitlements are not decided upon on annual basis, they just happen (Federal retirement)

83
Q

Statute required POTUS submit annual budget to congress

A

1921 Budget and accounting act

84
Q

Statute established OMB and GAO

A

1921 Budget and accounting act

85
Q

Act established Discretionary and Mandatory spending

A

1990 Budget enforement act

86
Q

Act established CFOs

A

1990 Chief Financial officers act

87
Q

Act required strategic plans every ____ years and reporting _____

A

1993 Government Performance and Results Act. 4 years with annual reports

88
Q

Act raised debt ceiling and automatic sequestration

A

2011 Budget Control Act

89
Q

Definition manpower management

A

Process for determining manpower requirements for budgetary purposes and reporting manpower strengths to OMB

90
Q

1st and second order prioirites of DOD manpower guidelines

A
  1. major combat commands based on joint chief of staff guidance 2. Remaining forces are manned to SUPPORT combat forces
91
Q

Civilian manpower overarching guidance is

A

minimum necessary to accomplish required tasks

92
Q

Civilian personnel can be used only in positions that

A

do not require military incumbents

93
Q

Indigenous personnel are to be used

A

to the max extent possible consistent with security and readiness

94
Q

Peacetime strength

A

end of FY programmed strength of active forces, selective reserve, appropriated fund civilian employees in the FYDP (future year defense program) database. DOESN’T include NAF (non-appropriated) personnel

95
Q

DOD manpower utilization policy

A

During wartime mobilization, terminate activites non-essential to the war;

96
Q

Under DOD manpower utilization policy, Assign military personells only to those jobs that contribute to war unless:

A

Miltary incumbent required by law; possessing military unique skills or experince essntial for success; Military authority or discipline is requisite to position; alternate manpower is not available.

97
Q

Mobilization Civilian Plan

A

War emergency mobilization plan for civilians since there will be civilians who are leaveing because they are 1. reservists being activated or 2. are being drafted

98
Q

DOD total force policy

A

Execution of contingency operations may require: Mobilization of all or part of reserve components; augmentation of active and activated reserve units by non-unit reservists, recalled retirees, volunteers, draftees. Replacing non EE civilians in theater with active duty or recalled reserve

99
Q

Emergency Essential (E-E)

A

Position based designation to support the success of combat operations or the avaialbility of combat essential systems. Specifically designated E-E positon.

100
Q

Master Mobilization Plan

A

Plan for assembling, organizing and unsing manpower and resources in preparation for war or other emergency

101
Q

Title 10 USC 12304

A

Gives president authority to activate reserve forces, without consent of congress, and order to Active Duty (other than for training) for not more than 365 days

102
Q

Limits of Title 10 USC 12304

A

200,000 Seleted Reserve and Individual Ready Reserve on active duty; Not more than 30,000 Individual Ready Reserve

103
Q

Crisis Situation

A

civil insurrection, civil war, terrorism, wartime, or hostile condition that threatens physical harm or imminent danger to the health or well being of the E-E civilian employee

104
Q

Non Combat essential

A

Support the expeditionary requirements in other than combat situations

105
Q

Where do you find guidance on budget estimate preparation for FTE

A

OMB Circular A-11

106
Q

Full Time Equivalent

A

2080 hours per year. 80 hours every two weeks

107
Q

Turnover Rate

A

Number of employyes who left in a year / total number of positions

108
Q

Fill Rate

A

Average number of days between position left to filled, divided by workdays in year

109
Q

Lapse Rate

A

Turnover Rate X Lapse Rate

110
Q

Number of positions to budget

A

100 - lapse rate

111
Q

DOD Separation Incentives

A

Permanent DOD Authority: 1. Voluntary Separation Incentive Pay (VSIP) up to $40K 2. Voluntary Early Retirement Authority (VERA)

112
Q

Federal Activites Inventory Reform Act (FAIR) of 1998

A

Establishes fair system of competition for activites not inherently governmental. If it makes sense, hire a contractor instead of a Federal Employee. 1. Lists required - annual activities that could POSSIBLY be performed by contractors, submitted to OMB and made publically available with POCs, list DUE end of Q3

113
Q

Who must review the lists submitted under Federal Activites Inventory Reform Act (FAIR)

A

OMB does final review annuallt

114
Q

FAIR Act Requires

A

Competition and Realistic and fair cost comparisons

115
Q

OMB Circular A-76

A

Currently on hold. Defined Rules and policies for implementing FAIR act. Two categories: 1. Commercial Activity 2. Inherently Governmental Activities (Act of governing, monetary transactions and entitlements)

116
Q

Defined Inherenty Governmental Activity and two categories

A

Mandate Federal Employee hold the position. Two categories are: The Act of Governing; Monetary Transactions and Entitlements. Long list of examples include, contracting, budget requests, selection for gov employment, foreign relations, intel, agency policy, criminal investigations, command military forces

117
Q

OMB Circular A-76 guiding principles

A
  1. Achieve economy/enhance productivity 2. Retain inherently government functions in house 3. Rely on commercial sector
118
Q

Most efficient organization (MEO) and what is it element of

A

Element of OMB Circular A-76; idea of the govermentment’s ideal mix of federal employees and contract support to perform a commercial activity. Best product at least cost and drives how you should hire. Cost estimates formed off of this.

119
Q

Performance Work Statement and what element of

A

OMB Circular A-76; Statement of technical, functional and performance characteristics. Detailed description for contract bidding.

120
Q

Management study

A

Is mandatory; identifies the most efficient and cost-effective in-house organization for accomplishing the PWS. The MEO is the basis for the government estimate

121
Q

What is the threshold for non-incumbent beating incubent according to A-76

A

10 percent

122
Q

All direct personnel costs must be estimated based on…

A

civilian performance

123
Q

Required notifications for A-76

A

USD(P&R) 5 days before Congress is notified of plan to do it. Employees must be notified also. Only required for over 46 personnel.

124
Q

Core ethics concepts

A
  1. No use of public office for private gain 2. No favoritism to any non-gov organization or individual
125
Q

Prohibited gift sources

A
  1. Anyone who seeks official action by your agency 2. Do or seek business with your agency 3. Are regulated by your agency 4. Have interests that may be substantially affected by performance
126
Q

Gift prohibition exception

A
  1. Value less than $20 or not to exceed $50 annually 2. Gift based on family/personal relationship 3. Gift based on an outside business relationship (part time job) 4. Gift is in connection with certain political activities (given at political rally) 5. Is it in the best interest of the agency NOT you
127
Q

Prohibited gifts BETWEEN employees

A

Nothing to a supervisor. Gifts cannot exceed $10. Transferred leave provided that it is not to an immediate supervisor, give to “leave bank” instead. Aggregate gift from group of employees cannot exceen $300

128
Q

Which Office oversees financial disclosures

A

Office of Government ethics

129
Q

What are the remedies for avoiding potential conflict of interest

A

Recusal, Request waiver (due to insignificance), Certificates of divestiture (sell off interests), blind Trusts

130
Q

Post employment ethics restrictions

A

Two year cooling off period for working in area of employees official responsibility. Senior level officials 1 year cooling off

131
Q

Force structure

A

Totality of units in a DOD component

132
Q

End strength

A

Strength at end of FY

133
Q

USC ADA for advance or in excess of appropriation

A

31 USC 1341

134
Q

USC ADA for accepting voluntary services

A

31 USC 1342

135
Q

USC ADA for Excess of an apportionment

A

31 USC 1517

136
Q

Types of Contract Termination and can expired funds be used

A

contractor default: expired funds available if 1. Bona fide need exists 2. Scope does not exceed original 3. Replacement awarded in reasonable time. Convenience of governemnt: only available if ordered to terminate

137
Q

Act established OMB and GAO, POTUS must submite annual budget to congress

A

1921 Budget and Accounting act

138
Q

Rules and procedures for budget execution

A

31 USC 13 and 15

139
Q

Instructions for preparation, submission and execution of budget & records

A

OMB Circular A-11

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