Internal Controls and Ethics by hlj48520

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									                                                                                             Family and Morale, Welfare and Recreation Command
                                                                                                Management Control Evaluation Plan for 2007
                                                                          MCP Review Done by         R                                                                                         Alternate
Hqs. Assessable
                   Hqs. F&MWRC                                           AUM Subordinate or non-     i                               FY                                                       Checklist or
 Unit Manager                                   Function                                                 FY07   FY08   FY09   FY10             Primary Checklist or Related Hot-Link                                  Related Regulation
                     Function                                            AUM Entity (Ref: DA 11-     s                               11                                                       Related Hot-
     (AUM)
                                                                                  2R)                k                                                                                            Link
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                  F&MWRC Internal                                         FMWRC Staff Point of                                            Annual Commercial Audit or AR 215-1 Appendix N
   IMWR-CG                             Command Review & Analysis                                     H    X      X      X      X     X                                                                          Inspections, Investigations, and
                     Functions                                                Contact                                                                       Checklist
                                                                                                                                                                                                                     Management Controls
                  F&MWRC Internal
   IMWR-CG                            Project Development & Approval     Directors, AFRCs, & ARMP    M    X             X            X    Army Management Control Process is Not Applicable                                AR 415-18
                     Functions


                                                                                                                                                                                               Army-wide
  IMWR-CR -          Financial                                           CR (WCAP) - Agency Pgm
                                        Army Travel Card Program                                     H    X      X      X      X     X       HQDA Checklist_SAFM Functional Proponent         NAF GPC Mgt.     Redesigned DoD 7000.14R: Oct 06
    Director        Management                                               Coordinator (APC)
                                                                                                                                                                                               Ctrl ChkLst


                     Financial
IMWR -FM CFO                           Administer Army MWR Funds         FM Staff Point of Contact   H    X      X      X      X     X                   Alternative Method                                     See AUM's Previous Submission
                    Management
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial       Armed Forces Recreation Centers                                                                      Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                                                              Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management          (AFRC) Funds Group (AFG)                                                                                            Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial                                                                                                            Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                         Army Banking & Investment Fund       Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management                                                                                                                              Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial                                                                                                            Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                           Army Central Insurance Fund        Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management                                                                                                                              Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial                                                                                                            Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                                Army Lodging Fund             Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management                                                                                                                              Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial                                                                                                            Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                        Army Lodging Single Operating Fund    Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management                                                                                                                              Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial                                                                                                            Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                              Army Medical/Life Fund          Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management                                                                                                                              Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial      Army Morale Welfare and Recreation                                                                    Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                                                              Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management                    Fund                                                                                                      Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial      Army NAF Employee 401(k) Savings                                                                      Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                                                              Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management                   Plan                                                                                                       Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial       Army NAF Employee Retirement                                                                         Annual Commercial Audit or AR 215-1 Appendix N
IMWR -FM CFO                                                              Commercial Audit Firm      H    X      X      X      X     X                                                                          Inspections, Investigations, and
                    Management                  Plan                                                                                                        Checklist
                                                                                                                                                                                                                     Management Controls
                                                                                                                                                                                                             Chapter 18, AR 215-1: Audits, Reviews,
                     Financial
IMWR -FM CFO                         Army Recreation Machine Program      Commercial Audit Firm      H    X      X      X      X     X              ARMP Key Mgt. Ctrols ChkLst                                 Inspections, Investigations, and
                    Management
                                                                                                                                                                                                                     Management Controls


         1 of 6                                                                                           Sorted by Risk within AUMs                                                                                          7/14/2010
                                                                                             Family and Morale, Welfare and Recreation Command
                                                                                                Management Control Evaluation Plan for 2007
                                                                         MCP Review Done by          R                                                                                        Alternate
Hqs. Assessable
                   Hqs. F&MWRC                                          AUM Subordinate or non-      i                               FY                                                      Checklist or
 Unit Manager                                    Function                                                FY07   FY08   FY09   FY10             Primary Checklist or Related Hot-Link                                   Related Regulation
                     Function                                           AUM Entity (Ref: DA 11-      s                               11                                                      Related Hot-
     (AUM)
                                                                                 2R)                 k                                                                                           Link
                     Financial      Cash Management, Banking and
IMWR -FM CFO                                                             FM Staff Point of Contact   H    X      X      X      X     X        Cash Management Key Mgt. Ctrls. ChkLst                             See AUM's Previous Submission
                    Management                  Investment
                     Financial      Centralized Property and Casualty
IMWR -FM CFO                                                             FM Staff Point of Contact   H    X      X      X      X     X                   Alternative Method                                      See AUM's Previous Submission
                    Management              Insurance Program
                     Financial
IMWR -FM CFO                                  Financial Policy           FM Staff Point of Contact   H    X      X      X      X     X                   Alternative Method                                      See AUM's Previous Submission
                    Management
                     Financial
IMWR -FM CFO                        Finance, Accounting and Reporting    FM Staff Point of Contact   H    X      X      X      X     X                   Alternative Method                                      See AUM's Previous Submission
                    Management

  IMWR-HP -       F&MWRC Internal    Administration of NAFIs ( ARMP ) GM - IR - Commercial Audit                                          Checklist for AUMs and MCSs to evaluate Key Mgt                     AR 11-2 Army Program Management
                                                                                                     H    X      X      X      X     X
    Director         Functions                ( AFRCs ) Part A                   Firms                                                                          Ctrls                                                      control
  IMWR-HP -       F&MWRC Internal    Administration of NAFIs ( ARMP ) GM - IR - Commercial Audit                                                                                                              AR 11-2 Army Program Management
                                                                                                     H    X      X      X      X     X    Checklist AR 11-2 Management Control Appendix C
    Director         Functions                ( AFRCs ) Part B                   Firms                                                                                                                                     control
  IMWR-HP -       F&MWRC Internal   Anti-Terrorism - AFRCs (Shades of                                                                                                                         ARMY AKO
                                                                          GM - AFRC (SoG)            H    X      X      X      X     X      AR 525-13 Antiterrorism available via AKO only
    Director         Functions                   Green Only)                                                                                                                                    Login

  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit                                        Annual Commercial Audit or AR 215-1 Appendix N                      AR 215-1: Military MWR Programs and
                                     Annual ARMP and AFRC Audits                                     H    X      X      X      X     X
    Director         Functions                                                     Firms                                                                    Checklist                                         Nonappropriated Fund Instrumentalities

                                                                                                                                                                                                 Sales
  IMWR-HP -       F&MWRC Internal     Cash, Inventory & Retail Sales    GM - IR - Commercial Audit
                                                                                                     H    X      X      X      X     X             Cash Management and Controls              Accountability                 AR 215-1
    Director         Functions           accountability - AFRCs                    Firms
                                                                                                                                                                                             and Operations

  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit
                                           Cashiering - AFRCs                                        H    X      X      X      X     X        Cash Management Key Mgt. Ctrls. ChkLst         Cash in Bank                   AR 215-1
    Director         Functions                                                     Firms
  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit                                        Annual Commercial Audit or AR 215-1 Appendix N
                                        Concessionaires - AFRCs                                      H    X      X      X      X     X                                                                                      AR 215-1
    Director         Functions                                                     Firms                                                                    Checklist
  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit
                                           F&B Costs - AFRCs                                         H    X      X      X      X     X    Food and Beverage Costs Key Mgt Controls ChkLst                                   AR 215-1
    Director         Functions                                                     Firms
  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit
                                      Housekeeping Costs - AFRCs                                     H    X      X      X      X     X                     Room Revenue                                                     AR 215-1
    Director         Functions                                                     Firms
  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit
                                       Overall Operations - AFRCs                                    H    X      X      X      X     X                  Other MWR Programs                                                  AR 215-1
    Director         Functions                                                     Firms
  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit                                        Annual Commercial Audit or AR 215-1 Appendix N
                                             Payroll - AFRCs                                         H    X      X      X      X     X                                                                                      AR 215-1
    Director         Functions                                                     Firms                                                                    Checklist
  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit                                        Annual Commercial Audit or AR 215-1 Appendix N
                                         Room Revenue - AFRCs                                        H    X      X      X      X     X                                                                                      AR 215-1
    Director         Functions                                                     Firms                                                                    Checklist
  IMWR-HP -          Financial        AFRC-ARMP Army Travel Card            GM - Agency Pgm
                                                                                                     H    X      X      X      X     X      HQDA Checklist_SAFM Functional Proponent                            Redesigned DoD 7000.14R: Oct 06
    Director        Management                Program                       Coordinator (APC)
  IMWR-HP -       F&MWRC Internal                                       GM - IR - Commercial Audit                                        Annual Commercial Audit or AR 215-1 Appendix N
                                      Attraction Ticket Sales - AFRCs                                M           X             X                                                                                            AR 215-1
    Director         Functions                                                     Firms                                                                    Checklist
  IMWR-HP -       F&MWRC Internal     General Accounting & Financial    GM - IR - Commercial Audit                                        Annual Commercial Audit or AR 215-1 Appendix N
                                                                                                     M           X             X                                                                                            AR 215-1
    Director         Functions             Reporting - AFRCs                       Firms                                                                    Checklist



         2 of 6                                                                                           Sorted by Risk within AUMs                                                                                           7/14/2010
                                                                                                Family and Morale, Welfare and Recreation Command
                                                                                                   Management Control Evaluation Plan for 2007
                                                                             MCP Review Done by         R                                                                                          Alternate
Hqs. Assessable
                    Hqs. F&MWRC                                             AUM Subordinate or non-     i                               FY                                                        Checklist or
 Unit Manager                                     Function                                                  FY07   FY08   FY09   FY10              Primary Checklist or Related Hot-Link                                  Related Regulation
                      Function                                              AUM Entity (Ref: DA 11-     s                               11                                                        Related Hot-
     (AUM)
                                                                                     2R)                k                                                                                             Link
  IMWR-HP -        F&MWRC Internal                                       GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                       Health Club Operations - AFRC s                                  M    X             X            X                                                                                      AR 215-1
    Director          Functions                                                     Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal                                       GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                             Inventories - AFRCs                                        M    X             X            X                                                                                      AR 215-1
    Director          Functions                                                     Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal                                       GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                           Leisure Activities -AFRCs                                    M           X             X                                                                                            AR 215-1
    Director          Functions                                                     Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal                                       GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                         NAFI Legal Status - AFRCs                                      M    X             X            X                                                                                      AR 215-1
    Director          Functions                                                     Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal   Property Operations & Maintenance - GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                                                                                        M           X             X                                                                                            AR 215-1
    Director          Functions                     AFRCs                           Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal                                       GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                     Risk Management Program - AFRCs                                    M           X             X     X                                                                                      AR 215-1
    Director          Functions                                                     Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal                                       GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                              Budgeting - AFRCs                                         L                  X                                                                                                   AR 215-1
    Director          Functions                                                     Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal                                       GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                           MWR Personnel - AFRCs                                        L           X                                                                                                          AR 215-1
    Director          Functions                                                     Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal                                       GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N
                                     Parking Garage Operations - AFRCs                                  L                  X                                                                                                   AR 215-1
    Director          Functions                                                     Firms                                                                       Checklist
  IMWR-HP -        F&MWRC Internal    Environmental Protection - AFRCs   GM - IR - Commercial Audit                                           Annual Commercial Audit or AR 215-1 Appendix N                     AR 200-1 Environmental Protection and
                                                                                                        L                         X
    Director          Functions             (Shades of Green Only)                  Firms                                                                       Checklist                                                   Enhancement

                   F&MWRC Internal                                           Academy Director - IR -
IMWR-HR Director                               MWR Academy                                              H    X      X      X      X     X                    Alternative Method                                     See AUM's Previous Submission
                      Functions                                              Commercial Audit Firms
                   F&MWRC Internal                                           HR Division Chief - IR -
IMWR-HR Director                        NAF Employee Benefits Office                                    H    X      X      X      X     X                    Alternative Method                                     See AUM's Previous Submission
                      Functions                                              Commercial Audit Firms
                   F&MWRC Internal                                           HR Division Chief - IR -
IMWR-HR Director                      F&MWRC HR Employee Database                                       H    X      X      X      X     X                    Alternative Method                                     See AUM's Previous Submission
                      Functions                                              Commercial Audit Firms

                                        Defense Business System
  IMWR - IM        F&MWRC Internal                                           Responsible IM Division                                             EVALUATION of Defense Business System                             GUIDANCE for Defense Business
                                     Modernization Certification Approval                               H    X      X      X      X     X
    Director          Functions                                                      Chief                                                         Modernization Certification Approvals                            System Modernization: Business
                                                  Process

  IMWR - IM        F&MWRC Internal       Management of information           Responsible IM Division                                                                                                             AR 25-1: Army Knowledge Management
                                                                                                        H    X      X      X      X     X    Appendix C Management Control Evaluation Checklist
    Director          Functions      resources and information technology            Chief                                                                                                                            and Information Technology

  IMWR - IM        F&MWRC Internal    Army Knowledge Management and          Responsible IM Division                                         Appendix C Management Control Evaluation Checklist
                                                                                                        H    X      X      X      X     X                                                                                      AR 25-1
    Director          Functions            Information Technology                    Chief                                                             <---starts at bottom of page one!
  IMWR - IM        F&MWRC Internal                                           Responsible IM Division
                                       Telecommunications - Telephone                                   H    X      X      X      X     X      Local-Long Distance Telephone Service Checklist                                 AR 25-1
    Director          Functions                                                      Chief
  IMWR - IM        F&MWRC Internal                                           Responsible IM Division
                                            Information Assurance                                       H    X      X      X      X     X        Appendix C Information Assurance Checklist                       AR 25-2: Army Information Assurance
    Director          Functions                                                      Chief
  IMWR - IM        F&MWRC Internal                                           Responsible IM Division
                                       Financial Management Systems                                     H    X      X      X      X     X                    Alternative Method                                     See AUM's Previous Submission
    Director          Functions                                                      Chief



         3 of 6                                                                                              Sorted by Risk within AUMs                                                                                           7/14/2010
                                                                                                 Family and Morale, Welfare and Recreation Command
                                                                                                    Management Control Evaluation Plan for 2007
                                                                              MCP Review Done by         R                                                                                                Alternate
Hqs. Assessable
                   Hqs. F&MWRC                                               AUM Subordinate or non-     i                               FY                                                              Checklist or
 Unit Manager                                       Function                                                 FY07   FY08   FY09   FY10               Primary Checklist or Related Hot-Link                                       Related Regulation
                     Function                                                AUM Entity (Ref: DA 11-     s                               11                                                              Related Hot-
     (AUM)
                                                                                      2R)                k                                                                                                   Link
  IMWR - IM                                                                   Responsible IM Division
                  Mandatory Training         Information Awareness                                       H    X      X      X      X     X                    IA Awareness Training                                         See AUM's Previous Submission
    Director                                                                          Chief
                                                                                                                                              This regulation is subject to the requirements of AR 11-
  IMWR - IM       F&MWRC Internal          Official Mail & Distribution       Responsible IM Division
                                                                                                         L                  X                  2. Checklists will be published in a DA Circular 11-                                    AR 25-51
    Director         Functions                    Management                          Chief
                                                                                                                                                                       Series.

                  F&MWRC Internal                                                                                                               Annual Commercial Audit or AR 215-1 Appendix N
IMWR - IR Chief                                 COTR Reviews                  Public Accounting Firms    H    X      X      X      X     X                                                                                             AR 215-1
                     Functions                                                                                                                                    Checklist
                  F&MWRC Internal      Established a 5-year Management                                                                                                                                                   AR 11-2 Army Program Management
IMWR - IR Chief                                                              IR MCP Point of Contact     H    X      X      X      X     X     AR 11-2 Management Control Appendix C Checklist
                     Functions                 Control Plan (MCP)                                                                                                                                                                     control
                                                                                                                                                  This regulation contains management control
                  F&MWRC Internal                                                                                                              provisions in accordance with AR 11-2 but does not                         AR 11-7 Internal Review and Audit
IMWR - IR Chief                        Internal & External Liaison Reviews      Applicable IR Staff      L                         X
                     Functions                                                                                                                   identify key management controls that must be                                  Compliance Program
                                                                                                                                                        evaluated. Use AR 11-2 Checklist
                                        Management Control Evaluation                                                                                                                                                    AR 11-2 Army Program Management
IMWR - IR Chief   Mandatory Training                                            Applicable IR Staff      L                         X           AR 11-2 Management Control Appendix C Checklist
                                                 Program                                                                                                                                                                              control

  IMWR - JA
                  Mandatory Training           Acquisition Ethics               Applicable JA Staff      H    X      X      X      X     X                      Alternative Method                                          See AUM's Previous Submission
  Commander
                                                                                                                                                                                                                            Joint Ethics Reg DoD 5500.7R:
  IMWR - JA                                                                                                                                    Required by 27 Dec 05 SecArmy Memo: 11-301: Annual
                  Mandatory Training                 Ethics                     Applicable JA Staff      H    X      X      X      X     X                                                                              Standards of Ethical Conduct and Ethics
  Commander                                                                                                                                                       Ethics Briefing.
                                                                                                                                                                                                                                        Guidance
  IMWR - JA       F&MWRC Internal                                                                                                             Appendix B_AR27-20 Management Control Evaluation
                                                     Claims                     Applicable JA Staff      L                               X                                                                                 AR 27-20 Legal Services CLAIMS
  Commander          Functions                                                                                                                               Program Checklist

  IMWR - MS       F&MWRC Internal                                                                                                               Army Information Security Program Management                              AR 380-5 Army Information Security
                                               Classified Material           MS Staff Point of Contact   H    X      X      X      X     X
    Director         Functions                                                                                                                       Control Evaluation Program Checklist                                             Program

                                                                                                                                                                                                                        Command Policy at: I:\GLOBAL\Policies
  IMWR - MS       F&MWRC Internal
                                               Time & Attendance             MS Staff Point of Contact   H    X      X      X      X     X                       Self Assessment                                         and SOP 215-3-5 Certification of Time
    Director         Functions
                                                                                                                                                                                                                          and Attendance Reports - 1 Sep 03

  IMWR - MS       F&MWRC Internal                                                                                                                ARMY Defense Travel System Internal Controls
                                        Travel Orders & Vouchers (DTS)       MS Staff Point of Contact   H    X      X      X      X     X                                                                                         JFTR-DoD FMR
    Director         Functions                                                                                                                                   Checklist

  IMWR - MS          Financial                                                                                                                  SAALT 13 Oct 04 Management Control Evaluation                           Army GPC Program SOP and Appendix E
                                       APF Purchase Card Review : Part A     MS Staff Point of Contact   H    X      X      X      X     X
    Director        Management                                                                                                                     Checklist for Government Purchase Cards                                  Review Guidelines and Checklist

  IMWR - MS          Financial                                                                                                                   DRAFT Government Purchase Card AR 715-XX
                                       APF Purchase Card Review: Part B      MS Staff Point of Contact   H    X      X      X      X     X
    Director        Management                                                                                                                                  21APR06
  IMWR - MS          Financial
                                       APF Purchase Card Review: Part C      MS Staff Point of Contact   H    X      X      X      X     X      Revised Appendix B to OMB Cir A-123_28 APR 06
    Director        Management
  IMWR - MS          Financial                                                 MS Agency Program
                                           Army Travel Card Program                                      H    X      X      X      X     X        HQDA Checklist_SAFM Functional Proponent                                Redesigned DoD 7000.14R _Oct 06
    Director        Management                                                  Coordinator (APC)



         4 of 6                                                                                               Sorted by Risk within AUMs                                                                                                  7/14/2010
                                                                                                  Family and Morale, Welfare and Recreation Command
                                                                                                     Management Control Evaluation Plan for 2007
                                                                               MCP Review Done by         R                                                                                                Alternate
Hqs. Assessable
                   Hqs. F&MWRC                                                AUM Subordinate or non-     i                               FY                                                              Checklist or
 Unit Manager                                       Function                                                  FY07   FY08   FY09   FY10               Primary Checklist or Related Hot-Link                                        Related Regulation
                     Function                                                 AUM Entity (Ref: DA 11-     s                               11                                                              Related Hot-
     (AUM)
                                                                                       2R)                k                                                                                                   Link
  IMWR - MS          Financial                                                                                                                                                                                           DFAS 37-IN: Finance & Accounting Policy
                                             Budget Office Functions          MS Staff Point of Contact   H    X      X      X      X     X                Program and Budget Authority
    Director        Management                                                                                                                                                                                                       Implementation
  IMWR - MS          Financial
                                            Civilian Payroll Procedures       MS Staff Point of Contact   H    X      X      X      X     X                      Alternative Method                                          See AUM's Previous Submission
    Director        Management
  IMWR - MS          Financial         Confidential Statement of Financial
                                                                              MS Staff Point of Contact   H    X      X      X      X     X                      Alternative Method                                          See AUM's Previous Submission
    Director        Management                       Interest
  IMWR - MS          Financial                                                                                                                  Annual Operational Readiness Test Checklist under
                                           Fire & Emergency Services          MS Staff Point of Contact   H    X      X      X      X     X                                                                                            AR 420-90
    Director        Management                                                                                                                                     development
  IMWR - MS          Financial                                                                                                                                                                                            AR 190-13_The Army Physical Security
                                       Physical Security Inspection Program   MS Staff Point of Contact   H    X      X      X      X     X        Physical Security Survey / Inspection Program
    Director        Management                                                                                                                                                                                                           Program
  IMWR - MS          Financial                                                                                                                                                                                            AR 735-5: Policies and Procedures for
                                         Property Accountability & Control    MS Staff Point of Contact   H    X      X      X      X     X                        100% Inventory
    Director        Management                                                                                                                                                                                                   Property Accountability
  IMWR - MS          Financial          Safety, Occupational and Physical                                                                          AR 385-10: Army Safety Program, Appendix B
                                                                              MS Staff Point of Contact   H    X      X      X      X     X                                                                                AR 385-10: The Army Safety Program
    Director        Management                      Security                                                                                         Management Control Evaluation Checklist

  IMWR - MS          Financial          Safety, Occupational and Physical                                                                      This regulation is subject to the requirements of AR 11-                   AR 385-16: Safety System Engineering
                                                                              MS Staff Point of Contact   H    X      X      X      X     X
    Director        Management                      Security                                                                                        2. Checklists will be published at a later date                                 and Management

  IMWR - MS                              Anti-Discrimination - Retaliation                                                                     Training site for the Notification and Federal Employee
                  Mandatory Training                                          MS Staff Point of Contact   H    X      X      X      X     X                                                                                  See AUM's Previous Submission
    Director                                         Training                                                                                  Antidiscrimination and Retaliation Ace (No FEAR Act).

  IMWR - MS                                                                                                                                        Interactive computer POSH tutorial on sexual
                  Mandatory Training                  POSH                    MS Staff Point of Contact   H    X      X      X      X     X                                                                                  See AUM's Previous Submission
    Director                                                                                                                                                       harassment
  IMWR - MS       F&MWRC Internal
                                           Employee Development Plan          MS Staff Point of Contact   M           X             X     X                      Alternative Method                                          See AUM's Previous Submission
    Director         Functions
  IMWR - MS       F&MWRC Internal            Leadership and Program
                                                                              MS Staff Point of Contact   M    X             X            X                      Alternative Method                                          See AUM's Previous Submission
    Director         Functions                    Management
  IMWR - MS       F&MWRC Internal      Performance Standards & Evaluation
                                                                              MS Staff Point of Contact   M           X             X     X                       Self Assessment                                                   Command Policy
    Director         Functions                     Documents
  IMWR - MS          Financial
                                       APF Funds Distribution & Execution     MS Staff Point of Contact   M           X             X             DFAS-IN Reg 37-1_ Appendix W_MCP Checklist                                           DFAS-37-1
    Director        Management
  IMWR - MS          Financial                                                                                                                  AR 215-3 NAF Personnel Policy_Apndx D_Mgt Ctrl
                                             Personnel Management             MS Staff Point of Contact   M    X             X                                                                                                          AR 215-3
    Director        Management                                                                                                                               Evaluation Checklist
  IMWR - MS       F&MWRC Internal
                                            Serious Incident Reporting        MS Staff Point of Contact   L                  X                                 AR Checklist (APP B)                                                    AR 190-40
    Director         Functions

  IMWR -NC           Financial           Army NAF Government IMPAC
                                                                              Directors, AFRCs, & ARMP    H    X      X      X      X     X          Self Assessment - NAF GPC CHECKLIST                                             NAF GPC SOP
    Director        Management                   Purchase Card
  IMWR -NC           Financial           Contract Management - PMAP                                                                               Procurement Management Assistance Program
                                                                              Directors, AFRCs, & ARMP    H    X      X      X      X     X                                                                                             AR 215-4
    Director        Management                    CHECKLIST                                                                                             (PMAP) Self Assessment Checklist
  IMWR -NC           Financial            Contract Management -MCP                                                                               NAF Contracting Management Control Evaluation                                Army Federal Acquisition Reg
                                                                              Directors, AFRCs, & ARMP    H    X      X      X      X     X
    Director        Management                    CHECKLIST                                                                                                    Clecklist- AR 215-4                                               Supplement (AFARS)
  IMWR -NC           Financial           Contract Management - AFARS                                                                           AFARS Appendix BB Management Control Evaluation
                                                                              Directors, AFRCs, & ARMP    H    X      X      X      X     X
    Director        Management                 MCP CHECKLIST                                                                                                        Checklist


         5 of 6                                                                                                Sorted by Risk within AUMs                                                                                                  7/14/2010
                                                                                             Family and Morale, Welfare and Recreation Command
                                                                                                Management Control Evaluation Plan for 2007
                                                                         MCP Review Done by          R                                                                                          Alternate
Hqs. Assessable
                   Hqs. F&MWRC                                          AUM Subordinate or non-      i                               FY                                                        Checklist or
 Unit Manager                                     Function                                               FY07   FY08   FY09   FY10             Primary Checklist or Related Hot-Link                                  Related Regulation
                     Function                                           AUM Entity (Ref: DA 11-      s                               11                                                        Related Hot-
     (AUM)
                                                                                 2R)                 k                                                                                             Link
  IMWR -NC           Financial         Contract Management - NAF GPC                                                                      Army-wide NAF Purchase Card Management Control
                                                                        Directors, AFRCs, & ARMP     H    X      X      X      X     X                                                                                     AR 215-4
    Director        Management                   CHECKLIST                                                                                                   Checklist
  IMWR -NC           Financial
                                       Procurement Management Reviews   Directors, AFRCs, & ARMP     H    X      X      X      X     X                    Alternative Method                                     See AUM's Previous Submission
    Director        Management

  IMWR-PA         F&MWRC Internal
                                          Freedom of Information Act     PA Staff Point of Contact   M    X             X            X     AR 25-55 Appendix H Mgt Ctrl Evaluation Checklist                               AR 25-55
    Director         Functions

  IMWR-SP-        F&MWRC Internal                                                                                                         U.S. Army Continuity of Operations (COOP) Program                   AR 500-3 ARMY COOP Program Policy
                                                   COOP                  SP Staff Point of Contact   H    X      X      X      X     X
    Director         Functions                                                                                                                            Policy and Planning                                     and Appendix F MCP Checklist
  IMWR-SP-
                  Mandatory Training            Anti-terrorism           SP Staff Point of Contact   H    X      X      X      X     X           Antiterrorism Level 1 Training System                                    AR 525-13
    Director




         6 of 6                                                                                           Sorted by Risk within AUMs                                                                                          7/14/2010

								
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