Real Estate and Sample Mou and Lease IMCOM Internal Control Five

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					                                                                                               IMCOM Internal Control Five Year Plan                                                                                                                                                        COMMENTS




                                                                                                                                      FREQUENCY(BA
  DA DESIGNATED                                                           HQ IMCOM                                                        SED ON
    FUNCTION      REQUIRED EVALUATION   REGULATION           REG DATE    PROPONENT   DA PROPONENT HQ IMCOM        REGION   GARRISON   POTENTIAL RISK)   FY08   FY09 FY10   FY11 FY12 EVALUATION GUIDE                LINK
                                                                                                                                                                                     (Use only the questions that apply to IMCOM and to the particular organizational level conducting the evaluation)



  ALL AUMs
                                        OPM, Federal
                                        Employees and
                                        the Fair
                                        Labor Standards
                                                                                                                                                                                     Customized checklist
                                        Act and Army
                                                                                                                                                                                     developed by West Point
                                        administrative &                                                                                                                             on separate sheet tab
                                        civilian personnel                                                                                                                           below. ATAAPS has no
                                        policies; AR 690-           CHIEF OF                                                                                                         checklist as a system
                  TIME AND ATTENDANCE   990-2; AR 1-3               STAFF, HRD &                                                                                                     itself it has checks and
ADMINISTRATION    MANAGEMENT            (NCR)                VARIED MSO                  ACS           X             X        X          Annual          X      X     X     X    X   balances incorporated.   http://www.apd.army.mil/pdffiles/r690_990_2.pdf



                                                                                                                                                                                     EVALUATE COMPLIANCE
                                                                                                                                                                                     WITH APP B, OMB
                                                                                                   X Done by                                                                         CIRCULAR A-123 & ANY
CONTRACT/PROCU                             OMB CIRCULAR                                            MSO with                           Annual (high                                   ACA OR IMCOM POLICIES http://asafm.army.mil/fo/fod/mc/amcec/Mgt%20Ct
RMENT          PURCHASE CARDS                  A-123          Aug-05 RM                  ACA      Divison Input      X        X          risk)           X      X     X     X    X   AND INSTRUCTIONS.     rl%20Eval%20Checklist.pdf




  CHAPLAIN
                                                                                                                                                                                     AR CHECKLIST (Note: The
                                                                                                                                                                                     MCP evaluation does not
                                                                                                                                                                                     replace annual review, but is
                                                                                                                                                                                     an overall evaluation of the
                  CONTRACTING FOR                                                                                                                                                    controls in the area based
                  CIVILIAN CLERGY           AR 165-1; DA     Mar 04;                                                                                                                 on a sampling of inspection
BASE SUPPORT      SERVICES                   PAM 165-1       Jan 00 CHAPLAIN            DACH           O             O        X        Quinquennial                         X    X   results.)                     http://www.apd.army.mil/pdffiles/r165_1.pdf

                                                                                                                                                                                     AR CHECKLIST (APP C)
                                                                                                                                                                                     (Note: The MCP evaluation
                                                                                                                                                                                     does not replace annual
                                                                                                                                                                                     review, but is an overall
                                                                                                                                                                                     evaluation of the controls in
                  NONAPPROPRIATED                                                                                                                                                    the area based on a
                  CHAPLAINS FUND            AR 165-1; DA     Mar 04;                                                                                                                 sampling of inspection
BASE SUPPORT      OPERATION                  PAM 165-1       Jan 00 CHAPLAIN            DACH           O             O        X          Triennial                    X              results.)                       http://www.apd.army.mil/pdffiles/r165_1.pdf



     DHR
                                                                                                                                                                                     For FY 07 this evaluation is
                                                                                                                                                                                     limited only to the
                                            ARMY WELL-                                                                                                                               demonstration sites: Forts
                                                                                                                                                                                     Jackson, Richardson,
                                           BEING O&O; AR
                                                                                                                                                                                     Wainwright and Eustis.
                  WELL-BEING               10-XX (DRAFT);                                                                                                                            TBD for outyears. WBMS
                  MANAGEMENT SERVICES          IMCOM                                                                                                                                 QA, 3-Tiered Feedback
BASE SUPPORT      (WBMS)                     GUIDANCE                   HR               G-1           X             O        X          Annual          X      X     X     X    X   System
                                                                                                                                                                                     AR CHECKLIST (APP E)
                                                                                                                                                                                     Checklist is outdated but
                                                                                                                                                                                     some questions may still be
                                                                                                                                                                                     valid. Use alternative
                                                                                                                                                                                     methods ICW valid checklist
                                                                                                                                                                                     questions to conduct
PERSONNEL         PERSONNEL MOBILIZATION     AR 600-8-6       Sep-98 HR               G-1/DAPE         O             O        X          Biennial               X           X        evaluations                 http://www.usapa.army.mil/pdffiles/r600_8_6.pdf
                                                                                                   X Done by
                                                                                                   MSO With
INFORMATION       DA FREEDOM OF INFO                                                   OAA to       Division
MANAGEMENT        ACT PROGRAM                 AR 25-55        Nov-97 HR               SECARMY        Input           O        X       Quinquennial                               X   AR CHECKLIST (APP. H)           http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_55/head.asp
                                                                                                                                                                                     AR CHECKLIST (APP C)
                                                                                                                                                                                     Checklist is outdated but
                                                                                                                                                                                     some questions may still be
                                                                                                                                                                                     valid. Use alternative
                                                                                                                                                                                     methods ICW valid checklist
                                                                                                                                                                                     questions to conduct
PERSONNEL         STRENGTH REPORTS           AR 600-8-6       Sep-98 HR               G-1/DAPE         O             O        X          Biennial               X           X        evaluations.                http://www.usapa.army.mil/pdffiles/r600_8_6.pdf
                                                                                                                                                                                     AR CHECKLIST (APP D)
                                                                                                                                                                                     Checklist is outdated but
                                                                                                                                                                                     some questions may still be
                                                                                                                                                                                     valid. Use alternative
                                                                                                                                                                                     methods ICW valid checklist
                  PERSONNEL ASSET                                                                                                                                                    questions to conduct
PERSONNEL         INVENTORY                  AR 600-8-6       Sep-98 HR               G-1/DAPE         O             O        X          Biennial               X           X        evaluations                 http://www.usapa.army.mil/pdffiles/r600_8_6.pdf

                  RETIREMENT-SURVIVOR
PERSONNEL         BENEFIT PLAN               AR 600-8-7      JUN 00 HR                G-1/DAPE         O             O        X       Quinquennial       X                           AR CHECKLIST (APP. C)           http://www.usapa.army.mil/pdffiles/r600_8_7.pdf
                                                                                                                                                                                     ALTERNATIVE METHOD
PERSONNEL         LEAVES AND PASSES         AR 600-8-10       Feb-06 HR               G-1/DAPE         O             O        X       Quinquennial
                                                                                                                                              1
                                                                                                                                                         X                           (MANAGER'S CHOICE)              http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r600_8_10/head.asp
                                                                                                                                         FREQUENCY(BA
  DA DESIGNATED                                                              HQ IMCOM                                                        SED ON
    FUNCTION      REQUIRED EVALUATION      REGULATION          REG DATE     PROPONENT   DA PROPONENT HQ IMCOM        REGION   GARRISON   POTENTIAL RISK)   FY08   FY09 FY10   FY11 FY12 EVALUATION GUIDE                    LINK
                                                                                                                                                                                           (Use only the questions that apply to IMCOM and to the particular organizational level conducting the evaluation)
                  PERSONNEL
                  PROCESSING (IN-, OUT-,
                  SOLDIER READINESS,
                  MOB & AMP;
                  DEPLOYMENT
PERSONNEL         PROCESSING                 AR 600-8-101       JUL 03 HR                G-1/DAPE         O             O        X          Biennial               X           X           AR CHECKLIST (APP B)             http://www.usapa.army.mil/pdffiles/r600_8_101.pdf

                                                                                                                                                                                           AR CHECKLIST (APP. C)
                  ARMY SUBSTANCE                                                                                                                                                           (Increased to triennial due to
PERSONNEL         ABUSE PROGRAM (ASAP)        AR 600-85         Mar-06 HR                G-1/DAPE         O             O        X          Triennial              X               X       heightened GWOT mission.)        http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r600_85/head.asp
PERSONNEL         OVERSEAS ASSIGNMENTS        AR 614-30         Jul-06 HR                G-1/DAPE         X             X                   Biennial        X            X             X   AR CHECKLIST (APP F)             http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r614_30/head.asp

                  EDUCATION INCENTIVES
                  AND ENTITLEMENTS -
                  ARMY CONTINUING
                  EDUCATION SYSTEM            AR 621-202
PERSONNEL         (ACES)                      CHANGE 1          Jan-95    HR             G-1/DAPE         O             O        X       Quinquennial                                  X   AR CHECKLIST (APP D)             http://www.asafm.army.mil/fo/fod/mc/amcec/app_d-e.pdf

                  TRANSITION-PERSONNEL
                  SEPARATION
PERSONNEL         DOCUMENTS                    AR 635-5         Sep-00 HR                G-1/DAPE         X             X        X       Quinquennial       X                              AR CHECKLIST (APP. B)            http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r635_5/head.asp
                  CARE AND DISPOSITION
                  OF REMAINS AND
PERSONNEL         PERSONAL EFFECTS             AR 638-2         Dec-00 HR                G-1/DAPE         O             O        X          Annual          X      X     X     X       X   AR CHECKLIST (APP B)             http://www.usapa.army.mil/pdffiles/r638_2.pdf

                                            DoD Directive
                                               1332.35,
                                            DoD Instruction
                                               1332.36,
                                            DA PAM 600-8-   Dec 93;
                                                 101,       Feb 94;                                                                                                                        Evaluation done by HQ
                                                                                                                                                                                           IMCOM. Checklist to be
                                           AR 600-8-101, DA May 03;
                                                                                                                                                                                           completed by Installation will
                  ARMY CAREER AND          PAM 635-4, Title Jul 03;                                                                                                                        be provided by this HQ
                  ALUMNI PROGRAM            10 U.S.C.1142,  Sep 97;                                                                                                                        depending on scope of
PERSONNEL         (ACAP)                     1143(b), 1144  Jan 06 HR                     G-1/HRC         X                                 Annual          X      X     X     X       X   evaluation to be used.

                                                                                                      X Done by                                                                            AR CHECKLIST (APP C
                                                                                                      MSO With                                                                             Para C-4 g) (Regions evaluate
                                                                                                                                                                                           the garrisons to determine if
INFORMATION                                                                               OAA to       Division                                                                            they are complying with
MANAGEMENT        RECORDS MANAGEMENT            AR 25-1         Jul-05    PLANS / HR     SECARMY        Input           X        X          Triennial                    X                 regulatory guidance.)            http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/cover.asp

                                                                                                                                                                                           ALTERNATIVE METHOD
                                                                                                                                                                                           (MANAGER'S CHOICE)
                                                                                                                                                                                           (The 5-year MCP evaluation
                                                                                                                                                                                           does not take the place of the
                                                                                                                                                                                           required 3-year
                                                                                                                                                                                           MACOM/intermediate
                                                                                                                                                                                           command "survey" of official
                  OFFICIAL MAIL &                                                                                                                                                          mail programs, but the data
                                                                                                                                                                                           from these surveys may be
INFORMATION       DISTRIBUTION                                                            OAA to                                                                                           used as documentation to back-
MANAGEMENT        MANAGEMENT                   AR 25-51         Nov-92 PLANS/ HR         SECARMY          O             O        X       Quinquennial                                  X   up the MCP evaluation.)          http://www.apd.army.mil/pdffiles/r25_51.pdf
                                                                                                      X Done by
                  THE ARMY PUBLISHING                                                                 MSO With
INFORMATION       PROGRAM (INCLUDING                                                      OAA to       Division                                                                                                             http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r
MANAGEMENT        PRINTING MANAGEMENT)         AR 25-30         Mar-06 PLANS/ HR         SECARMY        Input           X       X        Quinquennial       X                              AR CHECKLIST (APP. B)            25_30/main.asp#appb




       IR
                                                                          INTERNAL
                                                                          REVIEW AND
                                                                                                                                                                                           AR containsmanagement
                                                                          AUDIT                                                                                                            control provisions but does
                                                                          COMPLIANCE                                                                                                       not contain checklist. Use
INTERNAL REVIEW   REVIEWS                      AR 11-7          Jun-01    PROGRAM          DA -IR         O             O        X       Quinquennial                    X                 alternative methods.             http://www.army.mil/usapa/epubs/pdf/r11_7.pdf



    LEGAL

LEGAL SERVICES    CLAIMS                       AR 27-20         Jul-03    LEGAL            DAJA           O             O        X       Quinquennial X                                    AR CHECKLIST (APP B)             http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r27_20/cover.asp
                                                                                                                                                                                                                            Additionally, all Army personnel, except new
                                                                                                                                                                                                                            active duty enlisted members, must be
                                                                                                                                                                                                                            provided initial ethics training no later than 90   The Secretary of the Army has rescinded the requirement that
                                                                                                                                                                                                                                                                                100% of Army personnel attend Annual Ethics Training. The
                                                                                                                                                                                           Req by 27 Dec 05                 days after their entry on active duty OR the
                                                                                                                                                                                                                                                                                only Army personnel now required by HQDA to attend Annual
                                                                                                                                                                                           SECARMY Memo. All will           employee’s initial entry date. New active duty
                                                                                                                                                                                           attend one hour of training,                                                         Ethics Training are those who must file SF 278, Public
                                                                                                      X Done by                                                                                                             enlisted members within 180 days of entering        Financial Disclosure Report, or OGE Form 450, Confidential
                                                                                                                                                                                           those involved with
                                            Joint Ethics Reg                                          MSO with                                                                             acquistion will receive an       on active duty shall receive initial ethics         Financial Disclosure Report, and warranted Contracting
TRAINING          ETHICS TRAINING            DOD 5500.7R                  Legal            OTJAG     Divison Input      X        X          Annual          X      X     X     X       X   additional hour                  training.                                           Officers.


                                                                                                                                                    2
                                                                                                                                              FREQUENCY(BA
  DA DESIGNATED                                                         HQ IMCOM                                                                  SED ON
    FUNCTION      REQUIRED EVALUATION     REGULATION      REG DATE     PROPONENT       DA PROPONENT HQ IMCOM        REGION     GARRISON       POTENTIAL RISK)   FY08   FY09 FY10   FY11 FY12 EVALUATION GUIDE                     LINK
                                                                                                                                                                                             (Use only the questions that apply to IMCOM and to the particular organizational level conducting the evaluation)


      DOL

                  LOAN, LEASE, DONATION
SUPPLY            OF ARMY MATERIEL           AR 700-131     Aug-04 LOG                  G-4/DALO        X                                     Quinquennial       X                           AR CHECKLIST (APP. D)                http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r700_131/head.asp
                                                              Jul                                     O for
                                                            05;Nov                                  Regions; X
                  RETAIL SUPPLY           AR 710-2, AR 725- 95;Feb                                   Done by                                                                                 AR CHECKLIST (APP. B)
                  OPERATIONS -            50, AR 735-5, DA 05;Dec                                   MSO for HQ                                                                               IN CONJUNCTION WITH
SUPPLY            PROPERTY BOOK             PAM 710-2-1       97   LOG                  G-4/DALO     Property          O            X            Annual          X      X     X     X    X   CSDP/CLIP                            http://www.usapa.army.mil/pdffiles/r710_2.pdf
                  LAUNDRY AND DRY                                                                                                                                                            ALTERNATIVE METHOD
BASE SUPPORT      CLEANING SERVICES          AR 210-130    Feb-05 LOG                     ACSIM          O             O            X         Quinquennial       X                           (MANAGER'S CHOICE)                   http://www.apd.army.mil/pdffiles/r210_130.pdf
                  SHOP SUPPLY                                                                                                                                                                AR CHECKLIST (APP. B)
                  (MAINTENANCE                                                                                                                                                               IN CONJUNCTION WITH
MAINTENANCE       OPERATIONS)                 AR 710-2     Jul-05    LOG                G-4/DALO         O             O            X         Quinquennial                    X              CSDP/CLIP                            http://www.usapa.army.mil/pdffiles/r710_2.pdf
                  EQUIPMENT
                  MAINTENANCE (&
MAINTENANCE       EXPENDITURE LIMITS)         AR 750-1     Jun-06    LOG                G-4/DALO         O             O            X         Quinquennial                               X   AR CHECKLIST (APP H)                 http://www.usapa.army.mil/pdffiles/r750_1.pdf
                  HAZARDOUS MATERIEL
SUPPLY            INFORMATION SYSTEM         AR 700-141   May-04 LOG                    G-4/DALO         O             O            X         Quinquennial       X                           AR CHECKLIST (APP D)                 http://www.usapa.army.mil/pdffiles/r700_141.pdf
                                                                                                                                                                                             AR CHECKLIST (APP. B)
                  COAL AND PETROLEUM                                                                                                                                                         IN CONJUNCTION WITH
SUPPLY            PRODUCTS                    AR 710-2     Jul-05    LOG                G-4/DALO         O             O            X         Quinquennial                          X        CSDP/CLIP                            http://www.usapa.army.mil/pdffiles/r710_2.pdf
                                                                                                                                                                                             AR CHECKLIST (APP. B)
                  OPERATION OF                                                                                                                                                               IN CONJUNCTION WITH
SUPPLY            STORAGE FACILITIES          AR 710-2     Jul-05    LOG                G-4/DALO         O             O            X         Quaderennial                          X        CSDP/CLIP                            http://www.usapa.army.mil/pdffiles/r710_2.pdf
                                                                                                                                                                                             AR CHECKLIST (APP. B)
                                                                                                                                                                                             IN CONJUNCTION WITH
                                                                                                                                                                                             CSDP/CLIP. (Table 6
                  RETAIL SUPPLY                                                                                                                                                              addresses MACOM-
                  OPERATIONS - SUPPLY                                                                                                                                                        level/IMCOM
SUPPLY            MANAGEMENT                  AR 710-2     Jul-05    LOG                G-4/DALO         O             O            X         Quinquennial                               X   responsibilities).                   http://www.usapa.army.mil/pdffiles/r710_2.pdf

                  SPECIAL AUTHORIZATION
                  & PROCEDURES FOR                                                                                                                                                           AR CHECKLIST (APP. B)
                  ISSUES, SALES AND                                                                                                                                                          IN CONJUNCTION WITH
SUPPLY            LOANS                       AR 725-1     Oct-03    LOG                G-4/DALO         X                                    Quinquennial       X                           CSDP/CLIP                            http://www.usapa.army.mil/pdffiles/r725_1.pdf
                                                                                                                                                                                             AR CHECKLIST (APP. B)
                  AMMUNITION                                                                                                                                                                 IN CONJUNCTION WITH
SUPPLY            ACCOUNTABILITY              AR 710-2     Jul-05    LOG                G-4/DALO         O             O            X         Quinquennial              X                    CSDP/CLIP                            http://www.usapa.army.mil/pdffiles/r710_2.pdf
                  POLICIES AND
                  PROCEDURES FOR                                                                                                                                                             AR 735-5 PARA. 1-6 AND
                  PROPERTY                                                                                                                                                                   AR 710-2 TABLE B-1
SUPPLY            ACCOUNTABILITY              AR 735-5     Feb-05 LOG                   G-4/DALO         O             O            X            Annual          X      X     X     X    X   THROUGH B-6                          http://www.army.mil/usapa/epubs/pdf/r735_5_d20050228.pdf
                  STORAGE AND SUPPLY
SUPPLY            ACTIVITY OPERATIONS         AR 740-1     Sep-02 LOG                   G-4/DALO         O             O            X         Quaderennial                    X              AR CHECKLIST (APP. B) http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r740_1/cover.asp
                                                                                                                       X                                                                     EVALUATE COMPLIANCE
                                                                                                                                                                                             WITH APP B, OMB
                                                                                                                    Ensures
                                                                                                                                                                                             CIRCULAR A-123 & THE
                                                                     RM (Usually                                    Garrison                                                                 HQDA FLEET MGT
CONTRACT/PROCU VOYAGER/FLEET MGT          OMB CIRCULAR               DOL at garrison                                Complian                  Annual (high                                   CHECKLIST (DRAFT AS   http://www.whitehouse.gov/omb/financial/fia_trave
RMENT          CARDS                          A-123        Apr-06    level)               SAFM           O            ce            X            risk)           X      X     X     X    X   OF OCT 05)            l.html                                            http://www.asafm.army.mil/fo/fod/mc/amcec/Fleet%20Card.pdf


                                                                                                                                                                                             CUSTOMIZED CHECKLIST
                                                                                                                                                                                             (SEE ATTACHED TAB D -
                                                                                                                                                                                             SHEET 4 or alternative
                                                                                                                                                                                             methods) At some
                                                                                                                                                                                             installations, individual garrison
                                                                                                                                                                                             activities, such as the DOL,
                                                                                                                                                                                             dining facility or DPW, make
                                                                                                                                     X
                                                                                                                                                                                             purchases from a prime vendor.
                                                                     RM                                                        (Applies to                                                   An evaluator at the garrison
                                                                                                     X (Evaluate                 IMCOM                                                       needs to conduct an overall
                                                                                                                                                                                             garrison evaluation to determine
                                                                                                    IMCOM-wide                   activities
                                                                                                                                                                                             which activities do this, and
                                                                                                      controls;                 that order                                                   whether they are doing it
                                                                                                        review                    directly                                                   properly and whether a garrison
                                                                                                                                                                                             policy or SOP is need to
                  PRIME VENDOR                                                                       sampling of                  from a
                                                                                                                                                                                             standardize the process.
                  AUTHORIZATION            DFAS-IN 37-1                                                garrison                    prime
                  PROCESS                  (CHAPTER 9)     Jan-00                         DFAS       evaluations)      O         vendor)         Biennial        X            X          X




    DMWR




                                                                                                                                                         3
                                                                                                                              FREQUENCY(BA
  DA DESIGNATED                                                        HQ IMCOM                                                   SED ON
    FUNCTION      REQUIRED EVALUATION      REGULATION     REG DATE    PROPONENT   DA PROPONENT HQ IMCOM   REGION   GARRISON   POTENTIAL RISK)    FY08   FY09 FY10    FY11 FY12 EVALUATION GUIDE                           LINK
                                                                                                                                                                                     (Use only the questions that apply to IMCOM and to the particular organizational level conducting the evaluation)



                                                                                                                                                                                     AR CHECKLIST (APP L)
                                                                                                                                                                                     May do in conjunction with
                                                                                                                                                                                     region's formal accreditation
                                                                                                                                                                                     visit to each installation every 3
                                                                                                                                                                                     years. MCP evaluations do not
                                                                                                                                                                                     take the place of required
                                                                                                                                                                                     annual accreditation reviews at
                                                                                                                                                                                     installation level, but data from
                  ARMY FAMILY ADVOCACY                                                                                                                                               such reviews may be used to
BASE SUPPORT      PROGRAM                     AR 608-18   May-06 MWR                 DAIM          O         X        X          Triennial               X                       X   back-up MCP evaluations.             http://www.apd.army.mil/pdffiles/r608_18.pdf
                  ARMY FAMILY TEAM
                  BUILDING (AFTB)
BASE SUPPORT      PROGRAM                     AR 608-48    Mar-05 MWR                DAIM          O         O        X          Triennial               X                       X   Appendix B                           http://www.apd.army.mil/pdffiles/r608_48.pdf



                                                                                                                                                                                     AR CHECKLIST (PARA 2-
                                                                                                                                                                                     12 & APP I) May do in
                                                                                                                                                                                     conjunction with region's formal
                                                                                                                                                                                     accreditation visit to each
                                                                                                                                                                                     installation every 3 years. MCP
                                                                                                                                                                                     evaluations do not take the
                                                                                                                                                                                     place of required annual
                                                                                                                                                                                     accreditation reviews at
                                                                                                                                                                                     installation level, but data from
                  ARMY COMMUNITY                                                                                                                                                     such reviews may be used to
BASE SUPPORT      SERVICE CENTER (ACS)         AR 608-1    Jul-06    MWR             DAIM          O         O        X          Triennial        X                      X           back-up MCP evaluations.             http://www.apd.army.mil/pdffiles/r608_1.pdf

                                                                                                                                                                                     CFSC Memo, 19 Nov 01
                                                                                                                                                                                     Certification
                                                                                                                                                                                     requirements continue as
                                                                                                                                                                                     required, MCP evaluation
                  CHILD AND YOUTH                                                                                                                                                    to be accomplished every http://www.armymwr.com/corporate/docs/ir/cys_k
BASE SUPPORT      SERVICES                    AR 608-10    Jul-97    MWR             DAIM          O         X        X        Quinquennial                                      X   five years.              ey_management_controls.pdf


                                                                                                                                                                                     AR CHECKLIST (APP. B)
                                                                                                                                                                                     May do in conjunction with
                                                                                                                                                                                     region's formal accreditation
                                                                                                                                                                                     visit to each installation every 3
                                                                                                                                                                                     years. MCP evaluations do not
                                                                                                                                                                                     take the place of required
                                                                                                                                                                                     annual accreditation reviews at
                                                                                                                                                                                     installation level, but data from
                  ARMY FAMILY ACTION                                                                                                                                                 such reviews may be used to
BASE SUPPORT      PLAN                        AR 608-47    Dec-04 MWR                DAIM          O         O        X          Triennial               X                       X   back-up MCP evaluations.             http://www.apd.army.mil/pdffiles/r608_47.pdf




                                                                                                                                                                                     AR CHECKLIST (APP. K)
                                                                                                                                                                                     This checklist has few
                                                                                                                                                                                     questions that apply to HQ
                                                                                                                                                                                     IMCOM & Region levels -
                                                                                                                                                                                     recommend using IMCOM
                                                                                                                                                                                     Policy Memo #44 MWR
                                                                                                                                                                                     Business Programs
                                                                                                                                                                                     Corporate Startegy for
                  MORALE WELFARE &                                                                                                                                                   Performance Improvement
                                                                                                                                                                                     which includes an Appendix
                  RECREATION ACTIVITIES
                                                                                                                                                                                     A - IMCOM Business
                  AND NON-                                                                                                                                                           Programs Scorecared and
                  APPROPRIATED FUND                                                                                                                                                  an Appendix B - Internal
BASE SUPPORT      INSTRUMENTALITIES            AR 215-1    Aug-05 MWR                DAIM          O         O        X           Annual          X      X       X   X       X       Controls Checklist         http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r215_1/cover.asp



    DPTMS
                                                                                                                                                                                     Locally developed
                                                                                                                                                                                     checkliss like Annex A,
                                                                                                                                                                                     IMCOM Airfield/Heliport
                                                                                                                                                                                     Quality Assurance
                  AIR TRAFFIC CONTROL,                                              US ARMY                                    Annual (each                                          Checklist to IMCOM PAM
                  AIRSPACE, AIRFIELDS,                                            AERONAUTIC                                  airfield done at                                       600-XXX Airfield/Heliport
                  FLIGHT ACTIVITIES, AND                                          AL SERVICES                                 least every two                                        Quality Assurance and
AVIATION          NAVIGATION AIDS          AR 95-2         Aug-90 OPS               AGENCY         O         O        X            years)         X      X       X       X       X   Trends Analysis Program http://www.army.mil/usapa/epubs/pdf/r95_2.pdf
                                                                                                                                                                                     AR CHECKLIST (APP C)
                                                                                                                                                                                     Provide copies of
                                                                                                                                                                                     evaluations to IMAH-OPD-E
                                                                                                                                                                                     (IMCOM Emergency
                  ANTI-TERRORISM/FORCE                                                                                                                                               Services Branch ATTN:
SECURITY          PROTECTION                  AR 525-13    Jan-02    OPS             OPMG          O         O        X           Annual          X      X       X       X       X   ATO)                      http://www.asafm.army.mil/fo/fod/mc/amcec/DAMO-AR525-13.doc
                  POLICY FOR
                  SAFEGUARDING AND
                  CONTROLLING
                                                                                                                                                                                     AR CHECKLIST (APP G)
                  COMMUNICATIONS                                                                                                                                                     Available ONLY from AKO.
                  SECURITY (COMSEC)                                               HQDA DCS G-                                                                                        Click link and then AR 380- http://www.army.mil/usapa/epubs/380_series_coll
SECURITY          MATERIAL (FOUO)             AR 380-40    Jun-00    OPS            2 DAMI         O         O        X          Biennial         X          X                   X   40 which will open AKO.     ection_1.html



                                                                                                                                         4
                                                                                                                                       FREQUENCY(BA
  DA DESIGNATED                                                          HQ IMCOM                                                          SED ON
    FUNCTION      REQUIRED EVALUATION     REGULATION        REG DATE    PROPONENT   DA PROPONENT HQ IMCOM        REGION    GARRISON    POTENTIAL RISK)   FY08   FY09 FY10   FY11 FY12 EVALUATION GUIDE                   LINK
                                                                                                                                                                                        (Use only the questions that apply to IMCOM and to the particular organizational level conducting the evaluation)

                                                                                                                                                                                        New Regulation,
                                                                                                                                                                                        supercedes 210-21 and 350-
                                                                                                                                                                                        4. AR contains
                                                                                                                                                                                        management control
                                                                                                                                                                                        provisions but does not
                                                                                                                                                                                        contain key management
                                                                                                                                                                                        controls that must be
                                                                                                                                                                                        evaluated. Garrison Cdr
                                                                                                                                                                                        responsibilities can be found
                                                                                                                                                                                        in para 1-25. Alternative
                                                                                                                                                                                        evaluations should be
                  ARMY SUSTAINABLE                                                                                                                                                      developed based on those
TRAINING          RANGE PROGRAM              AR 350-19       Aug-05 OPS              DAMO-TRS         O             O         X        Quinquennial                                 X   responsibilities.             http://www.army.mil/usapa/epubs/pdf/r350_19.pdf




      DES


                                                                                                  X Done by
LAW               THE ARMY PHYSICAL                                                               MSO with                                                                              ALTERNATIVE METHOD
ENFORCEMENT       SECURITY PROGRAM           AR 190-13       Sep-93 OPS                OPMG      Divison Input      O         X           Biennial               X          X           (MANAGER'S CHOICE)               http://www.apd.army.mil/pdffiles/r190_13.pdf


                  PHYSICAL SECURITY FOR
LAW               ARMS, AMMUNITION AND                                                                                                                                                  ALTERNATIVE METHOD
ENFORCEMENT       EXPLOSIVES                 AR 190-11       Feb-98 OPS                OPMG           O             O         X        Quinquennial       X                             (MANAGER'S CHOICE)               http://www.apd.army.mil/pdffiles/r190_11.pdf


LAW               SERIOUS INCIDENT
ENFORCEMENT       REPORTING                  AR 190-40       Feb-06 OPS             OPMG/DAMI         O             O         X        Quinquennial              X                      AR CHECKLIST (APP B)             http://www.apd.army.mil/pdffiles/r190_40.pdf

                                                                                                                                       Triennial by
                                                                                                                                       Regions and
                                                                                                                                                                                        AR CHECKIST (APP E)
                                                                                                                                        Self ORIs                                       Evalutate through annual
FACILITIES        FIRE AND EMERGENCY                                                                                                   Annually by                                      Operational Readiness
SUPPORT           SERVICES                   AR 420-90       Sep-97 OPS                DAIM           O             X         X         Garrisons         X      X     X        X   X   Inspections.                     http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r420_90/head.asp




      PAIO
                                                                                                                                                                                        ALTERNATIVE METHOD
                                                                                                                                                                                        (MANAGER'S CHOICE) --
                                                                                                                                                                                        Review existing business rules
                                                                                                                                                                                        and check anomalies. Certify,
                  ARMY STATIONING AND                                                                                                                                                   update or establish business
                                                                                                                                                                                        rules. Review after action
                  INSTALLATION PLAN                                                                                                                                                     report. Certify, update or
BASE SUPPORT      (ASIP)                      AR 5-18        Oct-93    PLANS           DAIM           X                                Quinquennial              X                      develop policy/procedures.       http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r5_18/cover.asp

                                                                                                                                                                                        SEL scores Service Support
                                                                                                                                                                                        Programs (SSPs) and
                                                                                                                                                                                        conducts tradeoff analysis.
                                                                                                                                                                                        SEL reviews funding levels
                                                                                                                                                                                        and applies to SSPs.
                  COMMON LEVELS OF                                                                                            X                                                         Leadership review of
                  SUPPORT (CLS)                                                                                           (STARTIN                                                      Garrison SSP performance.
BASE SUPPORT      PROCESS                 IMCOM GUIDANCE      N/A      PLANS           DAIM           O             O     G IN FY08)      Annual          X      X     X        X   X
                                                                                                                                                                                        ALTERNATIVE METHOD
                                                                                                                                                                                        (MANAGER'S CHOICE) --
                                                                                                                                                                                        Review out-of-tolerance
                                                                                                                                                                                        comparisons. Installation
                                                                                                                                                                                        correct/validate data and
                                                                                                                                                                                        identify/review issues. All
                  INSTALLATION STATUS                                                                                                                                                   data updated/approved, as
BASE SUPPORT      REPORT PROCESS             AR 210-14       Jan-01    PLANS           DAIM           X                                Quinquennial                             X       appropriate, etc.                http://www.apd.army.mil/pdffiles/r210_14.pdf

                                                                                                                                                                                        ALTERNATIVE METHOD
                                                                                                                                                                                        (MANAGER'S CHOICE) --
                                                            Current                                                                                                                     For all contracted IMCOM
                                                            FAR, 15                                                                                                                     services, review to ensure
                                                             Jan 93                                                                                                                     IMCOM has appointed a
                                             FAR subpart    AR 5-14                                                                                                                     trained COR who is
                                                                                                                                                                                        monitoring contract
                                          42.15, AFARS, AR & Apr 04
                                                                                                                                                                                        performance, as required.
                  CONTRACT                    5-14, ACA       ACA                                 X Done by                                                                             Also ensure IMCOM
                  MANAGEMENT WITHIN           Acquisition  Instructio                             MSO with                             Annual (high                                     activities are following AR 5-
BASE SUPPORT      IMCOM                      Instructions       n     PLANS            DAIM      Divison Input      X         X           risk)           X      X     X        X       14, as appropriate.            http://www.army.mil/usapa/epubs/pdf/r5_14.pdf
                                                                                                                                                                                        CUSTOMIZED CHECKLIST
                  DEFENSE BUSINESS                                                                                                                                                      - REVIEW LOCAL
                                                                                                                                                                                        PROCEDURES TO
                  SYSTEM
                                                                                                                                                                                        ENSURE THEY ARE IAW
                  MODERNIZATION                                                                                                                                                         NEW RULES (SEE       NOTE: JAN 06 DELETED REQ'MENT FOR
INFORMATION       CERTIFICATION                                                                                                                                                         ATTACHED TAB E -     GARRISONNOTE: FEB 06 DELETED
MANAGEMENT        APPROVAL PROCESS         10 U.S.C. 2222    Oct-05    PLANS          G-6/SAIS        X                                   Annual 5        X      X     X        X   X   SHEET 5)             REQ'MENT FOR REGIONS PER PLANS
                                                                                                                                      FREQUENCY(BA
  DA DESIGNATED                                                                HQ IMCOM                                                   SED ON
    FUNCTION      REQUIRED EVALUATION           REGULATION        REG DATE    PROPONENT   DA PROPONENT HQ IMCOM   REGION   GARRISON   POTENTIAL RISK)   FY08   FY09 FY10   FY11 FY12 EVALUATION GUIDE                   LINK
                                                                                                                                                                                     (Use only the questions that apply to IMCOM and to the particular organizational level conducting the evaluation)
                  ANNUAL POST-MEO
                  IMPLEMENTATION
                  REVIEW; ANNUAL
                                                                                                                                                                                     ALTERNATIVE METHOD
                  CONTRACT REVIEWS; A-
                                                                                                                                                                                     (MANAGER'S CHOICE) --
                  76 COMPETITION                                                                                                                                                     REVIEW DATA ENTRIES IN
BASE SUPPORT      MILESTONES                        AR 5-20       May-05 PLANS               DAIM           X                            Biennial        X            X          X   dCAMIS                             http://www.army.mil/usapa/epubs/pdf/r5_20.pdf

                  STATIONING
                  MANAGEMENT PROCESS
                  (Example: BRAC,
                  modularity, transformation,
                  realignments, etc.)                                                                                                                                                ALTERNATIVE METHOD
BASE SUPPORT                                        AR 5-10        Mar-01 PLANS (SMO)      DAMO-FMP         X                            Biennial        X            X          X   (MANAGER'S CHOICE)                 http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r5_10/cover.asp



     DOIM
                  ARMY INFORMATION
                  MANAGEMENT-CIO
                  MANAGEMENT (At garrison
                  level, this evaluation does
                  not apply to OCONUS
                  IMCOM activities where
                  Signal Bdes separately                                                                                                                                                                                http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r
INFORMATION       evaluate DOIM related                                                                                                                                              AR CHECKLIST (APP C                25_1/cover.asp
MANAGEMENT        functions)                        AR 25-1        Jul-05    PLANS          G-6/SAIS       O      O (RCIO) X (DOIM)      Biennial               X           X        Para C-4 b)
                  ARMY ENTERPRISE
                  ARCHITECTURE (includes
                  IMCOM Web
                  Standardization) (At garrison
                                                                                                                                                                                     AR CHECKLIST (APP C
                  level, this evaluation does
                                                                                                                                                                                     Para C-4 c) -- Standard
                  not apply to OCONUS                                                                                                                                                Template Design and
                  IMCOM activities where                                                                                                                                             Centralized
                  Signal Bdes separately                                                                                                                                             hosting/decentralized content
                                                                                                                                                                                     management for web                 http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r
INFORMATION       evaluate DOIM related         AR 25-1 & ACSIM                                                                                                                      standardization. Review critical   25_1/cover.asp
MANAGEMENT        functions)                        directive      Jul-05    PLANS          G-6/SAIS        X              X (DOIM)      Biennial               X           X        data elements.


                                                                                                                                                                                     ALTERNATIVE METHOD
                                                                                                                                                                                     (MANAGER'S CHOICE) --
                                                                                                                                                                                     Review Army ordering site
                                                                                                                                                                                     business rules; IMCOM
                                                                                                                                                                                     Guidance. MACOM
                                                                                                                                                                                     validation of user ordres;
                                                                                                                                                                                     moritorium form ordering
                                                                                                                                                                                     Microsoft products from non-
                  MICROSOFT ENTERPRISE
                                                                                                                                                                                     contract sources;
                  LICENSE AGREEMENT --                                                                                                                                               requirement for user
INFORMATION       ARMY CONTRACT N00104-                                                                                                                                              identification; IMCOM
MANAGEMENT        02-A-ZE84                    SAIS-IOM MEMO       Aug-03 PLANS             G-6/SAIS        X              X (DOIM)      Biennial               X           X        validation.
                  INFORMATION
                  ASSURANCE (May be
                  combined with Army Info
                  Assurance Program eval
                  below) (At garrison level,
                  this evaluation does not
                  apply to OCONUS IMCOM
                  activities where Signal Bdes
INFORMATION       separately evaluate DOIM                                                                                                                                           AR CHECKLIST (APP C
MANAGEMENT        related functions)               AR 25-1         Jul-05    PLANS          G-6/SAIS       O      O (RCIO) X (DOIM)      Biennial        X            X          X   Para C-4 d)                        http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/cover.asp
                  ARMY INFORMATION
                  ASSURANCE PROGRAM
                  (May be combined with Info
                  Assurance eval above) (At
                  garrison level, this
                  evaluation does not apply to
                  OCONUS IMCOM activities
                  where Signal Bdes
INFORMATION       separately evaluate DOIM
MANAGEMENT        related functions)               AR 25-2         Nov-03 PLANS             G-6/SAIS       O      O (RCIO) X (DOIM)      Biennial        X            X          X   AR CHECKLIST (APP C)               http://www.apd.army.mil/pdffiles/r25_2.pdf
                  C4/IT SUPPORT AND
                  SERVICES (At garrison
                  level, this evaluation does
                  not apply to OCONUS
                  IMCOM activities where
                  Signal Bdes separately
INFORMATION       evaluate DOIM related                                                                                                                                              AR CHECKLIST (APP C
MANAGEMENT        functions)                       AR 25-1         Jul-05    PLANS          G-6/SAIS       O      O (RCIO) X (DOIM)      Biennial               X           X        Para C-4 e)                        http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/cover.asp




                                                                                                                                                 6
                                                                                                                                      FREQUENCY(BA
  DA DESIGNATED                                                                HQ IMCOM                                                   SED ON
    FUNCTION      REQUIRED EVALUATION            REGULATION       REG DATE    PROPONENT   DA PROPONENT HQ IMCOM   REGION   GARRISON   POTENTIAL RISK)   FY08   FY09 FY10   FY11 FY12 EVALUATION GUIDE                        LINK
                                                                                                                                                                                           (Use only the questions that apply to IMCOM and to the particular organizational level conducting the evaluation)
                  VISUAL INFORMATION (At
                  garrison level, this
                  evaluation does not apply to
                  OCONUS IMCOM activities
                  where Signal Bdes
INFORMATION       separately evaluate DOIM                                                                                                                                                 AR CHECKLIST (APP C
MANAGEMENT        related functions)                 AR 25-1       Jul-05    PLANS          G-6/SAIS       O      O (RCIO) X (DOIM)      Biennial                  X           X           Para C-4 f)                       http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/cover.asp



      DPW
                  UNACCOMPANIED
                                                                                                                                                                                           AR CHECKLIST (APP K)
HOUSING           PERSONNEL HOUSING                 AR 210-50      Oct-05    PW              DAIM          O         O        X          Biennial                  X           X                                             http://www.usapa.army.mil/pdffiles/r210_50.pdf
                  PRIVATE
                  ORGANIZATIONS ON
                  DEPARTMENT OF THE
BASE SUPPORT      ARMY INSTALLATIONS                AR 210-22      Oct-01    PW              DAIM          O         O        X       Quinquennial                 X                       AR CHECKLIST (APP. B)             http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r210_22/cover.asp
                  ENGINEER TROOP UNIT
                  CONSTRUCTION IN
                                                                                                                                                                                           AR CHECKLIST (APP. D)
                  CONNECTION WITH
CONSTRUCTION      TRAINING                          AR 415-32      Apr-98    PW              DAEN                             X       Quinquennial                 X                                                         http://www.usapa.army.mil/pdffiles/r415_32.pdf

                  MGMT HQ ACTIVITIES -                                                                                                                                                     AR 420-10 CHECKLIST
FACILITIES        FACILITIES                      AR 420-10; AR   Apr 97;                                                                                                                  (APP. B); AR 420-70
SUPPORT           ENGINEERING, GENERAL               420-70       Oct 97     PW              DAIM          O         O        X       Quinquennial                             X           contains no checklist             http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r420_10/head.asp
FACILITIES                                                                                                                                                                                 AR CHECKLIST (APP. C)
SUPPORT           UTILITIES SERVICES                AR 420-49      Sep-05 PW                 DAIM          O         O        X       Quinquennial                                     X                                     http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r420_49/cover.asp
FACILITIES        TRANSPORTATION
                                                                                                                                                                                           AR CHECKLIST (APP. E)
SUPPORT           INFRASTRUCTURE                    AR 420-72     May-00 PW                  DAIM          O         O        X       Quinquennial       X                                                                   http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r420_72/cover.asp
                                                                                                                                                                                           AR CHECKLIST IN AR 200-
FACILITIES                                                                                                                                                                                 1 or use alternative
SUPPORT           PEST MANAGEMENT                   AR 200-5       Oct-99    PW              DAIM          O         O        X       Quinquennial       X                                 methods.                http://www.apd.army.mil/pdffiles/r200_5.pdf
HOUSING           FAMILY HOUSING                    AR 210-50      Oct-05    PW              DAIM          O         O        X         Biennial         X             X               X   AR CHECKLIST (APP K)    http://www.usapa.army.mil/pdffiles/r210_50.pdf
                  COMMUNITY HOME
                  FINDING, RELOCATION &                                                                                                                                                    AR CHECKLIST (APP K)
HOUSING           REFERRAL SERVICES                 AR 210-50      Oct-05    PW              DAIM          O         O        X          Biennial        X             X               X                                     http://www.usapa.army.mil/pdffiles/r210_50.pdf
                                                                                                                                                                                           AR CHECKLIST (APP K)
HOUSING           MOBILE HOME PARKS                 AR 210-50      Oct-05    PW              DAIM          O         O        X          Biennial                  X       X                                                 http://www.usapa.army.mil/pdffiles/r210_50.pdf
                  HOUSING FURNISHINGS
                                                                                                                                                                                           AR CHECKLIST (APP K)
HOUSING           MANAGEMENT                        AR 210-50      Oct-05    PW              DAIM          O         O        X          Biennial              X               X                                             http://www.usapa.army.mil/pdffiles/r210_50.pdf
                  HOUSING
                  REQUIREMENTS                                                                                                                                                             AR CHECKLIST (APP K)
HOUSING           DETERMINATION                     AR 210-50      Oct-05    PW              DAIM          O         O        X          Biennial        X             X               X                                     http://www.usapa.army.mil/pdffiles/r210_50.pdf
                  MILITARY HOUSING
                                                                                                                                                                                           AR CHECKLIST (APP K)
HOUSING           PRIVATIZATION                     AR 210-50      Oct-05    PW              DAIM          O         O        X          Biennial                  X           X                                             http://www.usapa.army.mil/pdffiles/r210_50.pdf
                  RENTAL RATES FOR
                  HOUSE AND RELATED                                                                                                                                                        AR CHECKLIST (APP K)
HOUSING           FACILITIES                        AR 210-50      Oct-05    PW              DAIM          O         O        X          Biennial        X             X               X                                     http://www.usapa.army.mil/pdffiles/r210_50.pdf
                  HOUSING PLANNING FOR
                                                                                                                                                                                           AR CHECKLIST (APP K)
HOUSING           MOBILIZATION                      AR 210-50      Oct-05    PW              DAIM          O         O        X          Biennial                  X           X                                             http://www.usapa.army.mil/pdffiles/r210_50.pdf

                                                                                                                                                                                           AR CHECKLIST (APP. C)
REAL ESTATE       OUTGRANTING                       AR 405-80      Oct-97    PW              USACE         O         O        X          Triennial                     X                                                     http://www.usapa.army.mil/pdffiles/r405_80.pdf

                                                                                                                                                                                           CUSTOMIZED CHECKLIST
                                                                                                                                                                                           (SEE ATTACHED TAB RPI
                                                                                                                                                                                           MGT CHECKLIST) (This
                                                                                                                                                                                           MCP evaluation does not take
                                                                                                                                                                                           the place of the annual ISR
                                                                                                                                                                                           input, but ISR data may be
                                                                                                                                                                                           used as back-up data to
                                                                                                                                                                                           support the MCP evaluation
                                                                                                                                                                                           and as attached documentation
                                                                                                                                                                                           to the DA Form 11-2-R. Look
                  REAL PROPERTY                                                                                                                                                            for trends or weaknesses in the
                  INVENTORY                      AR 405-45 & DA                                                                                                                            ISR data.)
REAL ESTATE       ACCOUNTABILITY                  PAM 405-45      Nov-04 PW                  DAIM          O         O        X          Triennial                 X               X                                         http://www.army.mil/usapa/epubs/pdf/r405_45.pdf
                                                                                                                                                                                           AR CHECKLIST (APP B)
                                                                                                                                                                                           New AR 200-1 is coming
ENVIRONMENTAL                                                                                                                                                                              and contains a new and
                                                                                                                                                                                           improved checklist.
QUALITY           MGMT AND ENGINEERING
                                                                                                                                                                                           Unknown when new reg will
(FACILITIES       - ENVIRONMENTAL                                                                                                                                                          be published. Use your own
SUPPORT IN DA     PROTECTION AND                                             PW (ENV                                                                                                       discretion re applicable
INVENTORY)        ENHANCEMENT                       AR 200-1       Feb-97    assist)         DAIM          O         O        X        Quadrennial                             X           checklist.                 http://www.army.mil/usapa/epubs/pdf/r200_1.pdf



      RMO
FINANCIAL                                                                                                                                                                                  DFAS MANUAL
MANAGEMENT        ACCOUNTING OPERATIONS DFAS-IN 37-1               Jan-00    RM              DFAS           X                         Quinquennial                     X                   CHECKLIST (APP. C)                https://dfas4dod.dfas.mil/centers/dfasin/library/regs.htm




                                                                                                                                                 7
                                                                                                                                   FREQUENCY(BA
  DA DESIGNATED                                                        HQ IMCOM                                                        SED ON
    FUNCTION      REQUIRED EVALUATION    REGULATION       REG DATE    PROPONENT   DA PROPONENT HQ IMCOM        REGION   GARRISON   POTENTIAL RISK)   FY08   FY09 FY10   FY11 FY12 EVALUATION GUIDE            LINK
                                                                                                                                                                                  (Use only the questions that apply to IMCOM and to the particular organizational level conducting the evaluation)
                  DISTRIBUTION AND
                  EXECUTION OF
                  APPROPRIATED FUNDS
                                                                                                                                                                                  DFAS MANUAL
                  (NOTE: REGIONS AND                                                                                                                                              CHECKLIST (APP. W)
                  GARRISONS ONLY DO       DFAS-IN 37-1;                                         X Done by
FINANCIAL         THE EXECUTION          DOD FMR DFAS-                                          MSO with
MANAGEMENT        PORTION)                  IN 37-100      Jan-00    RM               DFAS     Divison Input      X        X          Annual          X      X     X     X    X                               https://dfas4dod.dfas.mil/centers/dfasin/library/regs.htm
                  REPRESENTATION
FINANCIAL         FUNDS OF THE SEC OF
MANAGEMENT        THE ARMY                   AR 37-47      Mar-04 RM                 SAFM           X             X        X       Quinquennial                    X              AR CHECKLIST (APP. B)       http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r37_47/head.asp

                                                                                                                                                                                  EVALUATE COMPLIANCE
                                                                                                X Done by                                                                         WITH APP B, OMB
FINANCIAL                                 OMB CIRCULAR                                          MSO with                           Annual (high                                   CIRCULAR A-123 & the
MANAGEMENT        GOVT TRAVEL CARDS           A-123        Aug-05 RM                 SAFM      Divison Input      X        X          risk)           X      X     X     X    X   Army SOP checklist.  http://www.rightsite.usaac.army.mil/robo/projects/cc%20help/TravelCardChklist.doc

                  BASE SUPPORT
                                                                                                                                                                                  AR 5-9 & CUSTOMIZED
                  REIMBURSEMENT-
                                                                                                                                                                                  CHECKLIST (SEE TAB
                  ISA/MOU/MOA PROCESS                                                                                                                                             ISSA CHECKLIST)
FINANCIAL         AND AREA SUPPORT       DODI 4000.19     Aug 95 &                                                                 Annual (high                                                               http://www.dtic.mil/whs/directives/corres/pdf/i4000
MANAGEMENT        RESPONSIBILITIES       AND AR 5-9        Oct 98 RM                  DAIM          O             O        X          risk)           X      X     X     X    X                               19_080995/i400019p.pdf                              http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r5_9/cover.asp

                                                                                                                                                                                  Jan 2006 - Checklist for
                                                                                                                                                                                  Force Development and
                                                                                                                                                                                  Documentation does not
                                                                                                                                                                                  currently exist. HQ IMCOM
                                                                                                                                                                                  Manpower will develop a
                                                                                                                                                                                  checklist for implementation
                                                                                                                                                                                  this FY for IMCOM activities
                                                                                                                                                                                  to evaluate in FY 08 as
FORCE             FORCE DEVELOPMENT                                                                                                                                               stated in the current
DEVELOPMENT       AND DOCUMENTATION          AR 71-32      Mar-97 RM                 DAMO           X             X        X          Biennial        X            X          X   IMCOM Five Year Plan."       http://www.apd.army.mil/pdffiles/r71_32.pdf
                  MANPOWER
                  MANAGEMENT
PERSONNEL         FUNCTIONS                  AR 570-4      Feb-06 RM                G-1/DAPE        X             X        X          Biennial        X            X          X   AR CHECKLIST (APP. B)       http://www.usapa.army.mil/pdffiles/r570_4.pdf

                                                                                                                                                                                  EVALUATE COMPLIANCE
                                                                                                                                                                                  WITH APP B, OMB
                                                                                                X Done by                                                                         CIRCULAR A-123 & ANY
CONTRACT/PROCU                            OMB CIRCULAR                                          MSO with                           Annual (high                                   ACA OR IMCOM POLICIES http://asafm.army.mil/fo/fod/mc/amcec/Mgt%20Ct
RMENT          PURCHASE CARDS                 A-123        Aug-05 RM                  ACA      Divison Input      X        X          risk)           X      X     X     X    X   AND INSTRUCTIONS.     rl%20Eval%20Checklist.pdf
                                                                                                                                                                                  AR CHECKLIST (APP. C) &
                                                                                                                                                                                  AVAILABLE HQDA
                                                                                                                                                                                  CRITERIA/AAA INFO; IN
                                                                                                                                                                                  CONJUNCTION WITH
                                                                                                                                                                                  ANNUAL ASSURANCE
                  INTERNAL CONTROL                                                                                                                                                STATEMENT
FINANCIAL         (FORMERLY CALLED                                                                                                                                                DEVELOPMENT OR
MANAGEMENT        MANAGEMENT CONTROL)        AR 11-2       Aug-94 RM                 SAFM           X             X        X          Triennial              X                X   AUDIT FINDINGS          http://www.apd.army.mil/pdffiles/r11_2.pdf
                                                                  RM
                                                                  (APPLIES
                                                                  ONLY TO
                                                                  ACTIVITIES                                                                                                      ALTERNATIVE METHOD
                                                                                                                                                                                  (MANAGER'S CHOICE) IN
                                                                  RESPONSIBLE                                                                                                     CONJUNCTION WITH
                                                                  FOR                                                                                                             INSTALLATION STATUS
                                                                  AGREEMENTS                                                                                                      REPORT
                                                                  WITH
FINANCIAL         INTERNATIONAL                                   FOREIGN
MANAGEMENT        AGREEMENTS                AR 550-51      Apr-98 ENTITIES.)          DAIM                        X        X          Triennial                    X                                          http://www.apd.army.mil/pdffiles/r550_51.pdf

                                       DOD Financial                                          X Done by
                                       Mgt Regulation,                                        MSO with                                                                            Checklist is now included
FINANCIAL MGT     DEFENSE TRAVEL SYSTEMVol 9, Chp 2        Apr-06    MSO          OACSIM MSO Divison Input        X        X          Annual          X      X     X     X    X   with link.                  http://www.asafm.army.mil/fo/fod/dts/dts-wp/dr/checklist.pdf



    SAFETY
MANAGEMENT AND
COMMAND        ARMY SAFETY PROGRAM          AR 385-10      Feb-00 SAFETY             DACS           O             O        X          Biennial        X            X          X   AR CHECKLIST (APP B)        http://www.apd.army.mil/pdffiles/r385_10.pdf
MANAGEMENT AND
COMMAND        RANGE SAFETY                 AR 385-63     May-03 SAFETY              DACS           O             O        X          Biennial               X           X        AR CHECKLIST (APP B)        http://www.apd.army.mil/pdffiles/r385_63.pdf

                                                                                                                                                                                  CUSTOMIZED CHECKLIST
                                                                                                                                                                                  DEVELOPED BY FORT
                                                                                                                                                                                  LEWIS (SEE ATTACHED
                                                                                                                                                                                  TAB EXPLOSIVES
                                                                                                                                                                                  SAFETY CHECKLIST) OR
               ARMY EXPLOSIVES                                                                                                                                                    USE ALTERNANTIVE
SAFETY         SAFETY PROGRAM               AR 385-64      Feb-00 SAFETY             DACS           O             O        X          Biennial               X           X        METHODS              http://www.apd.army.mil/pdffiles/r385_64.pdf
MANAGEMENT AND ARMY RADIATION
COMMAND        SAFETY PROGRAM                AR 11-9      May-99 SAFETY              DACS           O             O        X          Triennial                    X              AR CHECKLIST                http://www.apd.army.mil/pdffiles/r11_9.pdf




                                                                                                                                              8
                                               TAB A
            AR 385-64 (Explosives Safety) Management Control Checklist
                            (Developed by Fort Lewis)
                                                                         Yes       No       N/A
   1     Is overall organizational responsibility for explosives
         safety management clearly assigned to the Installation
         Safety Director?

   2     Is there evidence of close coordination between the
         various explosives management organizations and
         officials, including tenant organizations and the
         Installation Safety Office (ISO)?
   3     Is there a clear line of direct communication to the
         Garrison Commander on explosives safety issues?

   4     Is there adequate and competent staff for explosives
         safety management?

   5     Do qualified personnel perform at least semi-annual
         safety inspections of all explosive storage areas? (not
         including arms rooms)

   6     Does the Installation Safety Office (ISO) have a copy of
         all DDESB approved site plans for ammunition storage
         areas including, for example, ammunition/storage
         magazines, bunkers, loading docks, ammunition holding
         areas, loading docks, ammunition transfer points, etc.?

   7     Is a copy of the certified explosives license maintained
         at the ISO for all on post ammunition storage areas
         including ammunition/storage magazines, bunkers,
         small arms rooms, etc?

   8     Are copies of the certified explosives licenses
         maintained at all the ammunition/storage magazines,
         bunkers, and other licensed locations?

   9     Are explosives licenses certified and dated by the ISO,
         QASAS, Ammunition Supply Point?

   10    Does the ISO:
  10a    Participate in the preparation of requests for explosives
         storage licenses, renewals, safety waivers/exemptions,
         and site plans for activities to include tenant activities on
         the installation?

  10b    Conduct an annual review of the explosives storage
         licenses for compliance and encroachment? (Review
         includes on-site inspection of area)




PAGE 9                                                                         TAB A, EXPLOSIVES CHECKLIST
   10c    Review explosives actions for accuracy and
          completeness prior to forwarding to the IMCOM Safety
          Office?
   10d    Maintain records of biannual lightning protection system
          test reports and semi-annual visual inspections?

   10e    Review QASAS inspection reports?

   11     Is there a formal training and certification program for all
          personnel who handle ammunition and explosives?

          Are explosives safety arcs depicted on installation
          master plans maps?
   12
          Do ammunition/explosives handling and storage
          activities all have adequate Standing Operating
          Procedures (SOPs)for operations and emergencies?
   13
   14     Is the ISO involved in the review and approval process
          for ammunition/explosives handling and storage SOPs?


   15     Are explosives incidents and accidents properly
          investigated and reported?



Evaluator: ________________________________                Title: ______________________________________

Signature:_________________________________                Date:_______________________

Describe how evaluation was conducted:




List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses;
samples of data; interview notes; memos for record; email messages; ISR data; PMR results; audit
report; etc:
*
*
*
*




PAGE 10                                                                     TAB A, EXPLOSIVES CHECKLIST
                                              TAB B

                              MANAGEMENT CONTROL POLICY
                        INSTALLATION REAL PROPERTY MANAGEMENT
1. The purpose of this management control policy is to establish management controls to
ensure effective real property management by Army installations and Army Commands.
These management controls serve as a guide or checkpoint to ensure that critical actions
associated with real property management are carried out in an accurate and timely manner.
The following subparagraphs represent the minimum controls to be applied at each
installation that has a real property accountability mission. Contracting Officer's
Representatives must assure this reporting requirement is included in contracts where the
contractor performs most of the real property functions. Approved BRAC closure and
approved non-BRAC excess installations are exempt from this reporting requirement. When
answering the following questions; answer Yes/No, or if a question does not apply to your
installation, enter NA (for example: question 22 regarding "leasehold improvements" - if there
are no leasehold improvements, enter NA.) Comments providing additional information may
be submitted on a separate sheet referencing Test Question Number.

   a. Verify the accuracy of the installation’s RPI:


       (1) Real property accountable officers will ensure that every facility on the installation is
verified for accuracy on the RPI by conducting a physical survey in accordance with AR 405-
45. Results of these accuracy surveys will be kept on file in the building information file in the
installation real property office.

      (2) Key items to verify include:


           (a) Correct Design Use Category Code (CATCODE) that reflects the current
design of the facility (see DA PAM 415-28 for correct codes).
           (b) Correct Current Use Category Code (CATCODE) that reflects any temporary
diversions (see DA PAM 415-28 for correct codes).
           (c) Accurate Year Built and/or Acquired. for each facility.
            (d) Accurate Area (UM1) or Capacity (UM2) for each facility (see DA Pam 415-28
for correct UM1 and UM2).
            (e) Current Occupants of each facility identified by a valid Unit Identification Code
(UIC) (valid UICs obtained from ASIP POC).


            (f) Last Inspection Date
          (g) Identification of Historical facilities (obtained from the Environmental, Cultural
Resource Office).


                                              Page 11                    TAB B, RPI MGT CHECKLIST
              (h) Identification of inactive and closed facilities to include but not limited to
ranges and landfills (information obtained from the Environmental and DPT Offices). (see DA
PAM 405-45 for correct codes). Note: for ranges and landfills that have closed the records
will stay in the RPI and the IFS Facility Activation Status Code will be set to Inactive until the
closed status code has been implemented in the system.

            (i) Net Usable Square Feet. This is key in accurately determining utilization rates

            (j) Sustainment and Replacement Fund Codes and Organization Codes.
            (k) Ensure new facilities and capital improvements to existing facilities are posted
into the RPI in a timely manner:
            (l) Utilization rate for the design use(s) and overall facility as per AR 405-70

        (3) Site inspections by other DPW personnel may be considered as valid verification
visits as long as the items above are actually verified (see AR 405-45 for detailed guidance).
The results of the survey are to be documented and maintained in the building information
file, and in IFS by entering the survey date in the Date RPI Inspection field.



       (4) The DD Form 1354 is the key to recording new construction of facilities as well as
capital improvements/decreases to existing facilities. The following controls will be applied at
a minimum:

            (a) Project engineers/managers are to prepare the DD Form 1354 for new
construction and capital improvements and submit to the real property office within ten (10)
working days of project completion. Note: If the project is being managed/ executed by the
Construction Agent then the installation project engineer manager must coordinate with them
to get timely receipt of the DD Form 1354. Use of an interim DD Form 1354 is acceptable if
the final document is not yet available from the Construction Agent and we have beneficial
occupancy.

           (b) After Real Property reviews DD Form 1354 (RPAO will have ten (10) working
days to review) and finds it does not have accurate data, it will be returned back to the project
engineer/manager for corrections; the project engineer/manager will correct within ten (10)
working days and resubmit to real property.

           (c) Real Property Office is to post capitalization data within ten (10) working days
after acceptance of the DD Form 1354.

          (d) All changes are to be recorded in the same fiscal year that the changes
occurred. If they occur after the year of execution, posting dates of the actual date of
completion are to be used and remarks included on why the delinquency of posting.



                                             Page 12                    TAB B, RPI MGT CHECKLIST
            (e) Capital Improvement Definition. The costs to improve a real property asset
shall be capitalized when the costs of the improvement increases the real property asset’s
square footage, size, efficiency, or useful life; e.g. if a replacement was undertaken to improve
or expand the efficiency of an asset that was in good working order, then the replacement is
an improvement to be capitalized. When a facility or facility component has failed, is in the
incipient stages of failing or is no longer performing the functions for which it was designated it
is NOT a capital improvement and should not be recorded in the real property inventory.


            (f) Depreciation expense in turn affects the book balance of the asset. The source
of the information is usually obtained from the project engineer/manager and must be
recorded on a DD Form 1354 at the time. (Note: this does not mean you have accepted the
real property asset or improvement, only that is ready for use.)


           (g) Keep the original date of capitalization to include the improvement beneficial
occupancy date when adjusting costs resulting from the receipt of final DD Form 1354 or
correcting any erroneous postings.

      (5) Project engineers/managers are to verify that projects listed as “construction in
progress” are transferred to real property accounts as soon as the assets are placed in
service. Real Property will setup a suspense file to track CIP until construction is complete
and transferred to real property. Upon completion of a capital improvement project the
Project Engineer/Manager’s will close out the CIP with the local finance office and send a DD
1354 to real property for posting in the RPI.

        (6) The Real Property Officer will be included in the final inspection for acceptance of
all facilities projects. This final inspection will be a joint inspection with the project
engineers/managers and the real property accountable officer.

       (7) A tracking system will be developed for all transactions received in the real property
office. The vouchers will be date stamped in the real property office and logged in the
voucher register.

     (8) Ensure the posting of disposals of existing facilities from the RPI in a timely
manner:




                                             Page 13                    TAB B, RPI MGT CHECKLIST
           (a) All facilities planned for disposal will be annotated with the proper planned
disposal code on the IFS Real Property Facility Use screen as soon as a determination is
made by the DPW that the affected facility is to be disposed. (See DA PAM 405-45 for a list
of approved codes.) Also the year disposal execution is planned will be entered in the IFS
Disposal Screen. Timely posting is critical in order to prevent work orders or improvements to
be executed against facilities targeted for disposal (less safety or health issues).

          (b) Once a facility is disposed, you must do the following:
               - Enter the disposal date completed and the date dropped from the inventory
on the IFS disposal screen
               - Set the reportability code for the facility to “D” on the Real Property Facility
Screen.


            (c) All disposed real property will be removed from the inventory in the same fiscal
year that the property was disposed. If property is posted after the FY it was disposed, you
must use the actual date of disposal completion for posting. After reporting a disposed facility
to HQ EIS one quarter, IFS (sites using only Real Property module) will automatically delete
the disposed facility from the system. IFS will also attempt to delete the disposed facility from
those IFS sites that use other modules of IFS; however, if there is an outstanding open work
document or a phase of a multi-phased work document, the IFS system will be unable to
delete the disposed facility from the IFS system. You must alert the work order office to close
out all work/service orders.
     (9) Ensure records reflecting land ( 91XXX or 92XXX) are not part of a multiuse facility.
Keep all land records separate from other facility types.


     (10) Ensure that leasehold improvements are recorded with a proper capitalization
voucher and entered into the real property inventory as a capital improvement. Leasehold
improvements are capital improvements to an inlease (ownership code of 2 or 6). The capital
improvement must be above the base costs of the negotiated lease costs, e.g., adding a
Special Compartmented Information Facility (SCIF) to a leased building.


       (11) Ensure that grant information is vouchered and recorded into the real property
inventory within ten (10) working days from receipt of the real estate instrument. Information
to be recorded is Grant Instrument Number, Start/End dates, and space assignments.

      (12) Cost Definitions.

           (a) Acquisition Cost. Acquisition cost is the original purchase cost less any
purchase discounts.


                                             Page 14                    TAB B, RPI MGT CHECKLIST
          (b) Book Value. Book value is the recorded cost of a real property asset, less its
accumulated depreciation.
            (c) Fair Market Value/Fair Value. Fair market value (also known as fair value) is
an unbiased, equitable or just value based on the cost of a similar asset or the price that an
impartial buyer would be willing to pay for the asset or a similar asset.
             (d) Recorded Cost. The recorded cost or value shall include the amount(s) paid
to bring the property to its form and location suitable for its intended use. This shall include
ancillary costs.

             Ancillary Costs include:

             (a) Amount paid to vendor.
             (b) Labor and other direct or indirect costs to construct.
             (c) Engineering, architectural and other outside services for designs, plans,
specifications, and surveys.
             (d) Acquisition and preparation costs of buildings and other facilities.
             (e) Direct costs of inspection, supervision, and administration of construction
contracts and construction work.
             (f) Legal and recording fees and damage claims.
            (g) Fair value of facilities and installed equipment donated.
            (h) Interest paid (not including late payment interest penalties).

     (13). Real Property Costs/Values.

              (a) All facilities to include land will have a dollar value recorded and supported by
appropriate documentation (DD Form 1354, DA Form 337, Real Estate Instruments). These
documents are to be retained for the life of the facility plus six (6) years and should be kept in
the building information file.


               (b) For facilities that have zero dollar value and no documentation is available
(written or electronic), estimates of the cost shall be made as well as estimates for any
accumulated depreciation or amortization which would have been taken had the asset been
recorded at the time it was acquired. The methodology used should be well documented in
both the Facility Information Folder and in remarks in IFS. Estimates shall be based on:
- The cost of similar assets with auditable source documents on the same installation
wherever possible.
- Engineering cost estimates for newer, higher value assets discounted for inflation since the
acquisition date.
- Plant replacement value (PRV) for older, lower value assets.


                                             Page 15                    TAB B, RPI MGT CHECKLIST
            (c) Purchased Real Property. The costs to be recorded for purchased real
property shall be its acquisition cost plus applicable ancillary costs.

         (14) Constructed Real Property. The cost of real property while under construction is
recorded in the Standard General Ledger Construction-in-Progress account. When the project
belongs to the Army Corps of Engineers or other Federal construction agent, they will report
to the Construction-in-Progress Account until property has been transferred to the Real
Property Accountable Officer. If the project belongs to the installation, they will report to the
Standard General Ledger account for Construction in Progress Account until transferred to
the Real Property Accountable Officer. Only the costs associated with demolishing the
facilities that are part of the footprint of the construction project shall be included in the cost of
the new facility.

       (15) Donated Real Property. The cost to be recorded for Real Property acquired by
donation, execution of a will or judicial process, excluding forfeiture, shall be its estimated fair
value at the time of acquisition.

       (16) Exchanged Real Property. The cost to be recorded for real property acquired
through exchange shall be the fair market value of the property surrendered at the time of
exchange.

       (17) Seized and Forfeited Real Property. The cost recorded for real property
acquired through seizure or forfeiture shall be its fair market value.

         (18) Transferred Real Property. The cost recorded for real property transferred from
another DoD component or federal agency shall be the cost recorded on the transferring
entity’s books, net any accumulated depreciation. If the transferring entity does not have the
value, they should then provide the cost of its fair market value at the time of transfer shall be
used.


        (19) Year-end close out controls. Installations will assure that all real property
changes are included in the real property inventory database by Close of Business on the last
working day of September each fiscal year, or earlier as directed by ACSIM, DAIM-ZS. The
practice of using report processing cutoff dates before the fiscal year ends because of year-
end closing procedures will not be applied to real property processes.




                                               Page 16                    TAB B, RPI MGT CHECKLIST
       (20) Annual Reconciliation. Annual reconciliation with tenant activities will be done. A
RPI will be submitted to tenant activity, reflecting only those facilities they are occupying.
Recommend a face-to-face meeting be done in the Real Property Office to have the tenant
validate their use and produce documentation of changes. This should be done in the third or
fourth quarter each fiscal year. Reconciliation is to verify the key items in section (2).

        (21) The Real Property Officer is to validate that all vouchered documents that affect
the financial statements e.g., acquisition, capital improvements, use, and disposals have been
recorded accurately and timely. This validation is to be done monthly and each line item is to
be verified that the data was entered correctly.

        (22) A Management Control Evaluation Guide is attached below. This evaluation is to
be conducted in accordance with AR 11-2, Management Control. It is recommended the
Installation’s existing management review process be used.


       (23) Installations are to have Management Controls and all pertinent
regulations/policies available in each real property office.


       (24) IMCOM is to publish implementing guidance for these real property management
controls executed at garrison level. The controls outlined in this memorandum may be
supplemented as the IMCOM activity sees fit, however, these are the minimum set of controls
deemed necessary to ensure sound management of the RPI.

                        MANAGEMENT CONTROL EVALUATION GUIDE
                       INSTALLATION REAL PROPERTY MANAGEMENT

A.   Function

The function covered by this checklist is Installation Real Property Management.

B. Purpose.

The purpose of this checklist is to assist the Assistant Chief of Staff for Installation Management

C. Instructions




                                                Page 17                      TAB B, RPI MGT CHECKLIST
Answers must be based on the actual testing of key management controls (for example, document
analysis, direct observations, sampling, other). Answers which indicate deficiencies must be explained
and corrective action indicated in supporting documentation. Army organizations must review their
controls periodically (using this checklist) in accordance with the major command management control
plan and certify that the evaluation has been conducted on Department of the Army (DA) Form 11-2-R
(Management Control Evaluation Certification Statement). Army organizations should follow directions
in Army Regulation (AR) 11-2, Management Control. Director of Public Works, Real Property Offices
are encouraged to use these control guidelines for day-to-day operations.

D. Test Questions (A negative answer might indicate a management control weakness if the manager
believes it results in a significant, systemic problem. If uncertain, discuss the evaluation results with
your management control administrator and review material weakness criteria. )

1. Are the pertinent regulations/policies (AR 405-45/DA PAM 405-45, AR 415-28/DA PAM 415-28) on
Installation Real Property Management available in the real property office?


2. Is a tracking system (voucher register) being used in the Real Property Office to track DD Form
1354’s, DA Form 337’s or Real Estate Instruments?

3. Were the DD Form 1354’s, DA Form 337’s or Real Estate Instruments properly tracked on the
voucher register?


4. Was the Real Property Accountable Officer included in the final inspection for acceptance of all
facility projects?

5. Were the DD Form 1354’s completed by the project engineers/managers and submitted to the real
property office within 10 working days of project completion?

6. Were the DD Form 1354’s accurately completed by the project engineers/managers or did the real
property office return them for corrections?


7. Were the DD Form 1354’s returned to project engineer/managers for inaccuracies corrected and
resubmitted to the real property office within 10 working days?


8. Were the DD Form 1354’s capitalization data entered into the Real Property Inventory within 10
working days of acceptance?


9. Was the original date of capitalization kept when adjusting costs resulting from the receipt of final
DD Form 1354 or correcting any erroneous postings?




                                                 Page 18                     TAB B, RPI MGT CHECKLIST
10. If the DD Form 1354 was posted after the FY that project was completed, was it recorded with the
date that the acquisition or capital improvement actually occurred?


11. Is all building usage properly identified on the DD Form 1354 and recorded in the real property
inventory?

12. Has a diversion been done when use of a facility has changed from the design use for a short
period of time not to exceed 3 years?

13. Has a conversion been done when use of a facility has changed from the design use when use is
more than a 3 year period?

14. Do all facilities to include land have a dollar value recorded and supported by appropriate
documentation?

15. Did the Real Property Accountable Officer verify line by line that the DA Form 1354 data had been
accurately entered into the real property inventory?

16. Were facilities planned for disposal properly recorded in the real property database in the
Integrated Facilities System with the planned disposition code and proposed year of execution?


17. Were DA Form 337’s accurately completed within 10 working days of disposal
completion?




18. Were disposed facilities correctly identified with appropriate disposal information in the
real property database in the Integrated Facilities System within 10 working days from
disposal completion?


19. If disposed facility was removed in the next fiscal year after disposal completion, did the disposal
completion date reflect the actual date of disposal completion and were remarks included that
explained the delinquency of posting?

20. Are land records (91XXX or 92XXX) a separate facility number from buildings, structures, or
utilities?

21. Has grant information been accurately recorded in the real property inventory (type instrument,
start/end dates) and space assignment been completed?



                                                Page 19                      TAB B, RPI MGT CHECKLIST
22. Were leasehold improvements recorded with a proper capitalization voucher and entered into the
real property inventory as a capital improvement?

23. Were all real property changes included in the real property inventory by Close of Business on the
last working day of September?

                                                                           rd     th
24. Were annual reconciliation’s with tenant activities performed in the 3 or 4 quarter to review
facilities occupied by tenant, UM of facility, facility usage, Capital Improvement Costs that may have
been done by the tenant activity, UIC’s, and RPM responsibility?

25. Has every facility in the real property inventory been verified for accuracy by a physical survey at
least once every five years for general and working capital fund property and every three years for
heritage assets? Assets not in use (BRAC/Non BRAC Excess sites, and unutilized facilities) may be
inventoried using statistical sampling. NOTE: Contractors in possession of government property are
exempt from survey policy, since they adhere to Federal Acquisition Regulation property accountability
requirements. This exemption will not include A-76 contractors that perform real property
accountability functions in lieu of government staff.

26. Are the physical inventory surveys kept on file in the building information file in the real property
office?

Evaluator: ________________________________           Title: ______________________________________

Signature:_________________________________           Date:_______________________

Describe how evaluation was conducted:




List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses; samples of
data; interview notes; memos for record; email messages; ISR data; PMR results; audit report; etc:
*
*
*
*




                                                 Page 20                        TAB B, RPI MGT CHECKLIST
                                           TAB C

                         Management Control Evaluation Guide
          Base Support Reimbursement and Support Agreement/MOU/MOA Process
1. Function
The function covered by this guide is the administration of the Army Base Support
Reimbursement Process

2. Policies. DoD Instruction 4000.19, IMCOM NETCALL #18, the most current IMCOM
OMA Funding Guidance, AR 5-9, Army Reimbursable Policy, and the most current
IMCOM support agreement guidance.

3. Purpose
The purpose of this guide is to assist commanders and managers in evaluating critical
management controls within this process, as outlined below. It is not intended to cover all
controls over the reimbursement and support agreement process.

4. Instructions


Answers must be based on the actual testing of the management controls (for example, by
analyzing documents, observing the support agreement manager or budget officer in
operation, sampling and comparing agreements to actual financial data, simulating functions
within the process to find whether controls work as intended, or other available method).
Answers that indicate deficiencies must be explained and corrective action indicated in
supporting documentation. These important management controls must be formally
evaluated annually given the high risk for loss of resources through incorrect
reimbursements. Certification that this evaluation was conducted must be accomplished on
DA Form 11–2–R (Management Control Evaluation Certification Statement).

5. Evaluation Questions for Garrisons.
a. Does the installation supplier provide a non-reimbursable common level of support on
the same basis to all Army customers without a recurring fee-for-service arrangement? If
not, do controls need to be changed to correct this?
Suggested testing method : Review to determine if the garrison has implemented a CLS
Catalog of Services. Review a sampling of intra-Army support agreements on file to
determine if any require a recurring reimbursement for common level base support services
(i.e., reimbursements other than approved above-CLS service or mission unique support.)
Review a sampling of actual installation financial data reports to determine whether any
intra-Army reimbursements are occurring for common level base support services that are
not backed up by a support agreement.

b. Does the installation supplier charge all non-Army DoD and Federal customers for
measurable and attributable incremental direct support costs? If not, do controls need to be
strengthened to correct this?
Suggested testing method : Review a sampling of inter-service and intra-governmental
support agreements on file to determine whether measurable and attributable incremental
direct reimbursements are identified. Compare the sampling to the actual financial data
reports to determine whether the reimbursements actually occurred as required.

c. Do required support agreements (DD Forms 1144) exist, or are they in the process of
being developed to validate recurring reimbursable arrangements with applicable
customers?
Suggested testing method : Review the non-Army customers listed on the Army
Stationing and Installation Plan and on real property records to determine whether any are
on post without a reimbursable support agreement. Review a sampling of actual financial
data reports to determine whether recurring reimbursements are taking place without a
corresponding support agreement to validate them.


d. Is a trained and experienced support agreement manager (or managers) assigned?
Suggested testing method : Observe whether a support agreement manager is assigned
for the installation supplier. Interview the manager to determine level of experience and
training (e.g., attending the Defense Regional Interservice Support Course, or on-the-job
training).

e. Is the installation supplier keeping up adequately with the required triennial reviews of
support agreements?
Suggested testing method : Review the support agreement manager’s tracking records
(e.g., spreadsheet) to analyze the percentage of agreements that have received a review or
update sometime within the past three years.

f. Are support agreements (DD Forms 1144) signed by both the Director of Resource
Management and the Garrison Commander IAW the GAO Standard of "separation of
duties"?
Suggested testing method : Review a sampling of support agreements on file and note
who has signed them.

g. Are customers provided sufficient lead-time (i.e., minimum 180 days) to program and
budget for changes to their support agreements that cause a significant increase in cost?
(Exceptions allowed in instances where annual funding program lowers base operation
support; suppliers will notify customers as soon as possible how the annual funding program
will affect their level of service.)
Suggested testing method : Review a sampling of correspondence and records of rate
increase and note number of days notice given to customers. Interview a sampling of
customer points of contact.
h. Are disputes over reimbursement responsibilities being elevated for resolution in a timely
manner? Are the issues resolved quickly enough to prevent a detrimental impact to the
customer’s mission or the installation supplier’s ability to provide support?
Suggested testing method : Review a sample of memoranda and emails that elevated
reimbursement issues for resolution. Interview the customer and installation supplier
representative to assess how quickly the issues were resolved and note any negative
impacts.


Evaluator: ________________________________           Title: ______________________________________


Signature:_________________________________           Date:_______________________

Describe how evaluation was conducted:




List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses;
*
*
*
*
                                                       TAB D

              AUTHORIZATION PROCESS FOR DIRECT PURCHASES FROM PRIME VENDORS
Task: Evaluate the organization's controls and procedures designed to prevent unauthorized purchases from
Prime Vendors. Recommend applying the GAO internal control principle of "separation of duties" when
establishing procedures and controls for prime vendor purchasing (i.e., a separate party approves all prime
vendor purchases before they are initiated.). Financial policy requires all organizations to establish internal
controls in this area. For more information: DFAS-IN REGULATION 37-1 (CHAPTER 9)

Background: Past IMCOM evaluations of garrison activities discovered that without proper controls in this
area, activities may directly order from a prime vendor without the certifying approval of a proper authority (e.g.
approval of the Director Resource Management, the Division Chief, Garrison Commander, etc.). During FY05,
an evaluation uncovered a situation where a mission activity at one installation in the Northwest Region had
purchased $17 million worth of supplies and equipment from the prime vendor (i.e., Defense Logistics Agency)
without proper approval. During FY04, an evaluation in the Pacific region found that a garrison activity had
made improper purchases from a prime vendor (i.e., a designated contractor), which resulted in $278K for
supplies being charged to the wrong fiscal year, estimated $156K in wasted time, $82K annually wasted in
unnecessary overtime and an estimated $9K annually for unnecessary additional contracted work.

Suggested evaluation questions:
Does the organization have a written policy and procedure that requires staff members to obtain
approval from a separate authority prior to making a prime vendor purchase?


Does the written policy/procedure appear to be appropriately applied and executed by staff?



Are budget analysts assigned to track and execute funding for all direct prime vendor purchases IAW
DOD financial policy?

If the prime vendor purchase procedure is outlined within a contract statement of work (SOW), are the
applicable parties within your organization following the SOW procedures correctly, and is the
appropriate party enforcing the SOW?
Give 2-3 examples:




From your evaluation, do you find that your organization overall is making only authorized prime vendor
purchases?



Evaluator: ________________________________                Title: ______________________________________



Signature:_________________________________                Date:_______________________
Describe how evaluation was conducted:




List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses; samples
of data; interview notes; memos for record; email messages; ISR data; PMR results; audit report; etc:)


*
*
*
                                               TAB E

     DEFENSE BUSINESS SYSTEM MODERNIZATION CERTIFICATION APPROVAL

Evaluate the controls within your organization that incorporate these new rules. Are the
controls adequate? If not, what is your recommendation, as the evaluator, for improving the
controls to obtain reasonable assurance for the organization? (The Information Management
Officer [IMO] typically serves as evaluator for this process.).

FY 05 NDAA: The Ronald W. Reagan National Defense Authorization Act (NDAA) for Fiscal Year
(FY) 2005 states that funds appropriated to the Department of Defense (DoD) may not be
obligated for a defense business system modernization that will have a total cost in excess of $1 M
unless—


1) the approval authority designated for the defense business system certifies to the Defense
Business Systems Management Committee that the business system modernization is in
compliance with the enterprise architecture; is necessary to achieve a critical national security
capability or address a critical requirement in an area such security or safety; or is necessary to
prevent a significant adverse effect on a project that is needed to achieve an essential capability,
taking into consideration alternative solutions;
2) the certification by the approval authority is approved by the Defense Business Systems
Management Committee.

For more information: http://www.defenselink.mil/dfas/legislative/FY05/section8083-2005.htm

What does 10 U.S.C. 2222 require in regard to "defense business system
modernizations?"
Effective 1 Oct 05, any defense business system modernization that will have a total cost in excess
of $1M must be reviewed by the appropriate Office of the Secretary of Defense (OSD) Investment
Review Board (IRB), certified by the designated Approval Authority and the certification must be
approved by the Defense Business Systems Management Committee (DBSMC) before any funds
for modernization can be obligated. For more information:
http://www.dod.mil/bmmp/govern_dbsmc.html


What if funds are obligated without certification and approval required by 10 U.S.C.
2222?

An officer or employee of the U.S. Government that knowingly and willfully obligates funds for a
defense business system modernization that has a total cost of over $1M without an approved
certification will violate 31 U.S.C. 1341(a)(1) (the Anti-Deficiency Act (ADA)). The ADA provides
for a fine of up to $5000.00, and imprisonment for not more than 2 years, or both.


What is a "defense business system?"

An information system, other than a national security system, operated by, for, or on behalf of the
DoD, including financial systems, mixed systems, financial data feeder systems, and information
technology and information assurance infrastructure, used to support business activities.




                                                Page 29                        TAB D, DBSMC CHECKLIST
What is a "defense business system modernization?"
The acquisition or development of a new defense business system; or an significant modification or
enhancement of an existing defense business system (other than necessary to maintain current
services.).


Do Commercial off-the-shelf (COTS) acquisitions also require certification?

Yes.

Does the $1M threshold apply to the annual cost, or the total cost of a modernization, or
to the life cycle cost of all program modernizations?

It applies to the total cost of the modernization from concept refinement phase, or pre-initiation
phase, to deployment (but not including operation and support (i.e., sustainment phase).


Evaluator: ________________________________              Title: ______________________________________




Signature:_________________________________              Date:_______________________

Describe how evaluation was conducted:




List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses;
samples of data; interview notes; memos for record; email messages; ISR data; PMR results; audit
report; etc.):
*

*

*



                                               Page 30                        TAB D, DBSMC CHECKLIST
                                               TAB F

                            INTERNAL CONTROL EVALUATION GUIDE

Function: TIME AND ATTENDANCE MANAGEMENT

Purpose: The purpose of this checklist is to assist the IMCOM activity's directors and
managers with evaluating the key internal controls listed below. It is not intended to cover all
controls over this function.

Instructions: Answers must be based on the actual testing of the important internal controls (e.g.,
document analysis, direct observation, sampling, simulation, other). Answers that indicate
deficiencies must be explained and corrective actions indicated in the supporting documentation.
These internal controls must be evaluated annually. Certification that this evaluation has been
conducted must be documented on a DA Form 11-2-R and signed by the applicable Assessable Unit
Manager.

Test Questions:
1. Has the IMCOM activity assigned an administrative officer who adequately tracks and processes
the time and attendance of employees?

2. Do supervisors adequately manage the time and attendance of their employees (e.g., ensure
adequate coverage by projecting and balancing use or lose and holiday/vacation leave, approve leave
slips in a timely manner and disapprove leave with proper justification?)

3. Is a DA Form 5172-R, "Request, Authorization, and Report of Overtime" being completed for each
overtime action, with the appropriate justification and signatures?


4. Are requests for overtime being scheduled with written advance approval of the work being
accomplished? (Yes, no, or partially)
If no or partially:
a. How many activity overtime requests were not scheduled and approved in writing ahead of time?

b. Of those, how many were justified due to emergency circumstances (such as requirement to
support a short notice deployment, national hurricane relief, homeland security response, etc.)?

c. Of the overtime actions sampled that did not have advance written approval, list the reason for
each one and point out any trends or patterns among the reasons.


5. Is overtime being granted only in situations when essential work cannot be accomplished during
the normal work hours?

6. Are employee work schedules first adjusted to the maximum extent possible to accommodate the
work requirement during normal duty hours prior to approving the OT (for example, approving
compenstatory time, assigning an eight-hour evening shift, or a non-standard work week that runs
from Tuesday to Saturday)?
7. Are supervisors using the minimally acceptable rank and grade level qualified available employee
to perform the required overtime before approving OT for higher graded employees?

8. When an outside activity -- such as an interservice or intra-governmental tenant per DODI 4000.19,
or an Army customer with a mission unique OT request -- requires the IMCOM activity to work
overtime to fulfill a support requirement, is the IMCOM activity requesting a reimbursement or a labor
cost transfer from the requiring activity to fund the OT?

9. Are supervisors conducting quarterly reviews and analysis of overtime in order to better manage
their annual civilian labor costs?


Evaluator: ________________________________              Title: ______________________________________


Signature:_________________________________              Date:_______________________

Describe how evaluation was conducted:




List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses;
samples of data; interview notes; memos for record; email messages; ISR data; PMR results; audit
report; etc.):
*
*
*

				
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