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					                                                                                                                          FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan



                                                                     FMWRC FY09 Five Year Management Control Program (MCP) Plan
                                                                                         embedded into the
                                                                                  IMCOM FY08 Five Year MCP Plan                                                                                            http://www.apd.army.mil/pub/eforms/pdf/a11_2r.pdf

 FMWRC Hqs.                                                                                                                                            FREQUENCY
  Assessable               DA DESIGNATED       REQUIRED                                         HQ IMCOM    DA       HQ                                 (BASED ON            FY
                                                                                                                                                                                                                                                                                          LINK
                                                               REGULATION          REG DATE                              REGION GARRISON                          FY 08           FY 10 FY 11 FY 12                  EVALUATION               GUIDE
 Unit Manager                FUNCTION         EVALUATION                                       PROPONENT PROPONENT IMCOM                               POTENTIAL             09
                                                                                                                                                           RISK)
    (AUM)

                                                               (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                        (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                       is
                                       DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                        particular organizational level conducting the evaluation)
NOTE:-------------->                                    This link provides          a PDF vewrsion of the DA Form 11-2-R.        (Note: Jan 94 version is obsolete)

NOTE:-------------->                                             Army Web          sites and most commonly sought products.




                                                                 OPM, FEDERAL
                                                               EMPLOYEES AND
                                                                THE FAIR LABOR
                                                               STANDARDS ACT
FMWRC              -                                               AND ARMY          Army Reg
                                    Time and Addendance                                           CHIEF OF                                                                                                 CUSTOMIZED CHECKLIST - DEVELOPED BY
Directors                                                      ADMINISTRAVTIVE        215_3,
                     ADMINISTRATION Management - AR 690-           & CIVILIAN
                                                                                                STAFF, HRD &    ACS          X       X          X         Annual        X     X     X      X        X   WESTPOINT - PROVIDED IN ATTACHED FILE NAMED
- Office Chiefs                                                                    Chapter 17 &
                                           990-2                  PERSONNEL                         MSO                                                                                                           "TIME AND ATTENDANCE"
- General Managers                                                                  Appendix D
                                                               POLICIES; AR 690-
                                                                  990-2; AR 1-3
                                                                (NCR) DOD FMR,
                                                                   VOLUME 8




                                                                    OPM,
                                                                  FEDERAL
                                                                EMPLOYEES
                                                               AND THE FAIR
                                                                   LABOR
                                                                STANDARDS
                                                                                                                                                                                                        ALTERNATE METHODS ATAAPS HAS NO CHECKLIST
                                                                  ACT AND
                           ADMINISTRATION    ADMINISTRATION                          VARIED       USAEC         ACS          X       O         O          Annual        X     X     X      X        X   AS A SYSTEM ITSELF HAS CHECKS AND BALANCES
                                                                    ARMY
                                                               ADMINISTRATI                                                                                                                                            INCORPORATE.
                                                               VE & CIVILIAN
                                                                PERSONNEL
                                                               POLICIES; AR
                                                                690-990-2; AR
                                                               1-3 (NCR) DOD
                                                               FMR, VOLUME                                                                                                                                  AR CHECKLIST (PARA 2-12 & APP I) MAY DO IN
                                                                                                                                                                                                              CONJUNCTION WITH REGION'S FORMAL
                                                                                                                                                                                                          ACCREDITATION VISIT TO EACH INSTALLATION
                                            ARMY COMMUNITY
                                                                                                                                                                                                        EVERY 3 YEARS. MCP EVALUATIONS DO NOT TAKE
                           BASE SUPPORT     SERVICE CENTER        AR 608-1           Sep-08        MWR          DAIM        O        O          X         Triennial     X                  X                                                                  http://www.apd.army.mil/pdffiles/r608_1.pdf
                                                                                                                                                                                                        THE PLACE OF REQUIRED ANNUAL ACCREDITATION
                                                 (ACS)
                                                                                                                                                                                                        REVIEW AT INSTALLATION LEVEL, BUT DATA FROM
                                                                                                                                                                                                          SUCH REVIEWS MAY BE USED TO BACK-UP MCP
                                                                                                                                                                                                                         EVALUATIONS.
                                                                                                                                                                                                              CFSC MEMO, 19 NOV 01 CERTIFICATION
                                            CHILD AND YOUTH                                                                                                                                               REQUIREMENTS CONTINUE AS REQUIRED, MCP       http://www.armymwr.com/corporate/docs/ir/cys_key_m
                           BASE SUPPORT                          AR 608-10           Jul-97        MWR          DAIM        O        X          X       Quinquennial                                X
                                                SERVICES                                                                                                                                                 EVALUATION TO BE ACCOMPLISHED EVERY FIVE                       anagement_controls.pdf
                                                                                                                                                                                                                            YEARS.
                                                                                                                                                                                                         AR CHECKLIST (APP L) MAY DO IN CONJUNCTION
                                                                                                                                                                                                        WITH REGION'S FORMAL ACCREDITATION VISIT TO
                                                                                                                                                                                                             EACH INSTALLATION EVERY 3 YEARS. MCP
                                              ARMY FAMILY                                                                                                                                                    EVALUATIONS DO NOT TAKE THE PLACE OF
                           BASE SUPPORT        ADVOCACY          AR 608-18           Oct-07        MWR          DAIM        O        X          X         Triennial           X                     X    REQUIRED ANNUAL ACCREDITATION REVIEWS AT            http://www.apd.army.mil/pdffiles/r608_18.pdf
                                               PROGRAM                                                                                                                                                     INSTALLATIONS LEVEL, BUT DATA FROM SUCH
                                                                                                                                                                                                        REVIEWS AT INSTALLATION LEVEL, BUT DATA FROM
                                                                                                                                                                                                          SUCH REVIEWS MAY BE USED TO BACK-UP MCP
                                                                                                                                                                                                                         EVALUATIONS.
                                            ARMY FAMILY TEAM
                           BASE SUPPORT      BUILDING (AFTB)     AR 608-48           Mar-05        MWR          DAIM        O        O          X         Triennial           X                     X                         APPENDIX B                               http://www.apd.army.mil/pdffiles/r608_48.pdf
                                                PROGRAM
                                                                                                                                                                                                          AR CHECKLIST (APP. B) May do in conjunction with
                                                                                                                                                                                                          region's formal accreditation visit to each installation
                                              ARMY FAMILY                                                                                                                                               every 3 years. MCP evaluations do not take the place of
                           BASE SUPPORT                          AR 608-47           Dec-04        MWR          DAIM        O        O          X         Triennial           X                     X                                                                  http://www.apd.army.mil/pdffiles/r608_47.pdf
                                              ACTION PLAN                                                                                                                                               required annual accreditation reviews at installation level,
                                                                                                                                                                                                        but data from such reviews may be used to back-up MCP
                                                                                                                                                                                                                              evaluations.




                 1 of 38                                                                                       D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                  9/24/2010 at 10:16 AM
                                                                                                                             FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                               FREQUENCY
  Assessable               DA DESIGNATED         REQUIRED                                        HQ IMCOM    DA       HQ                                   (BASED ON            FY
                                                                                                                                                                                                                                                                                              LINK
                                                                   REGULATION        REG DATE                             REGION GARRISON                            FY 08           FY 10 FY 11 FY 12                 EVALUATION              GUIDE
 Unit Manager                FUNCTION           EVALUATION                                      PROPONENT PROPONENT IMCOM                                 POTENTIAL             09
                                                                                                                                                              RISK)
    (AUM)

                                                                   (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                          (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                          is
                                          DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                          particular organizational level conducting the evaluation)
NOTE:-------------->                                       This link provides         a PDF vewrsion of the DA Form 11-2-R.            (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                Army Web         sites and most commonly sought products.

                                                                                                                                                                                                           AR CHECKLIST (APP. K) THIS CHECKLIST HAS FEW
                                             MORALE WELFARE &                                                                                                                                              QUESTIONS THAT APPLY TO HQ IMCOM & REGION
                                                RECREATION                                                                                                                                                   LEVELS - RECOMMEND USING IMCOM POLICY
                                             ACTIVITIES AND NON-                                                                                                                                               MEMO #44 MWR BUSINESS PROGRAMS
                           BASE SUPPORT                               AR 215-1         Jul-07       MWR           DAIM         O          O        X         Annual         X   X     X      X        X                                                                  http://www.army.mil/usapa/epubs/pdf/r215_1.pdf
                                               APPROPRIATED                                                                                                                                                  CORPORATE STRATEGY FOR PERFORMANCE
                                                    FUND                                                                                                                                                  IMPROVEMENT WHICH INCLUDES AN APPENDIX A -
                                             INSTRUMENTALITIES                                                                                                                                             IMCOM BUSINESS PROGRAMS SCORECARD AND
                                                                                                                                                                                                          AN APPENDIX B - INTERNAL CONTROLS CHECKLIST
                                             MORALE WELFARE &
 NAF Contracting,                               RECREATION
applicable FMWRC                             ACTIVITIES AND NON- AR 215-4:
                                               APPROPRIATED     Nonappropriat                                                                                                                                                                                          AFARS Appendix BB Management Control Evaluation
 Directors, Office         BASE SUPPORT                                                                                                                      Annual         X   X     X      X        X          http://usassi-www.army.mil/references.html
                                                    FUND          ed Fund                                                                                                                                                                                                Checklist - Contract Manageemnt within FMWRC
Chiefs, and General
     Managers                                INSTRUMENTALITIES Contracting
                                                Procurement
                                                Management
                                                                                                                            X Done
  NAF Contracting -                                                                                                         by MSO                                                                            EVALUATE COMPLIANCE WITH APP B, OMB
                            CONTRACT/                               OMB Circular
  Billing Officials -                         PURCHASE CARDS                          Aug-05         RM           ACA         with        X        X         Annual         X   X     X      X        X    CIRCULAR A-123 & ANY ACA OR IMCOM POLICIES                    NAF MCPlan Billing Official - Cardholder Review
                           PROCUREMENT                                a_123
    Cardholders                                                                                                             Division                                                                                   AND INSTRUCTIONS.
                                                                                                                             Input
                            CONTRACT/           CONTRACT/          OMB Circular A-                                                                                                                                                                                     http://www.whitehouse.gov/omb/circulars/a123/a123_a
                                                                                      Mar-08       USAEC          ACA          X          O        O         Annual         X   X     X      X        X                         CHECKLIST
                           PROCUREMENT         PROCUREMENT             123                                                                                                                                                                                                                ppendix_b.pdf
                           ENVIRORMENTAL      ENVIRONMENTAL
                            PERFORMANCE        PERFORMANCE
                             ASSESSMENT         ASSESSMENT              N/A             N/A        USAEC           N/A         X          O        O         Annual         X   X     x      x        x             USAEC DEVELOPED CHECKLIST
                            SYSTEM (EPAS)      SYSTEM (EPAS)
                              PROGRAM            PROGRAM

FMWRC Plans and
                                                 FIRE AND
Operations Director          FACILITIES                            Continuity of                                                                                                                                                                                       AR 500-3 US Army Continuity of Operations Program
                                                EMERGENCY                                                                                                    Annual         X   X     X      X        X
   and General               SUPPORT                                Operations                                                                                                                                                                                                         Policy and Plan
                                                 SERVICES
    Managers
                                             INTERNAL CONTROL                                                                                                                                               AR CHECKLIST (APP. C) & AVAILABLE HQDA
                             FINANCIAL       (FORMERLY CALLED                                                                                                                                               CRITERIA/AAA INFO; IN CONJUNCTION WITH
                                                                      AR 11-2         Aug-94         RM           SAFM         X          X        X        Triennial           X                     X                                                                     http://www.apd.army.mil/pdffiles/r11_2.pdf
                            MANAGEMENT          MANAGEMENT                                                                                                                                                ANNUAL ASSURANCE STATEMENT DEVELOPMENT
                                                 CONTROL)                                                                                                                                                             OR AUDIT FINDINGS
                                              Administration of
GM - IR - Commercial F&MWRC Internal
                                                NAFIs (ARMP)                                                                                                 Annual         X   X     X      X        X                                                                   AR 11-2 Army Program Management control
    Audit Firms         Functions
                                               (AFRCs) Part A


                                              Administration of
GM - IR - Commercial F&MWRC Internal
                                                NAFIs (ARMP)                                                                                                 Annual         X   X     X      X        X                                                                   AR 11-2 Army Program Management control
    Audit Firms         Functions
                                               (AFRCs) Part B




                                               Anti-Terrorism -
                           F&MWRC Internal
  GM - AFRC (SoG)                             AFRCs (Shades of                                                                                               Annual         X   X     X      X        X                      ARMY AKO Login
                              Functions
                                                Green Only)




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




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




                 2 of 38                                                                                         D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                    9/24/2010 at 10:16 AM
                                                                                                                              FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                               FREQUENCY
  Assessable               DA DESIGNATED         REQUIRED                                         HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                                     LINK
                                                                    REGULATION      REG DATE                               REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                FUNCTION           EVALUATION                                       PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                              RISK)
    (AUM)

                                                                    (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                           (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                          is
                                          DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                           particular organizational level conducting the evaluation)
NOTE:-------------->                                        This link provides       a PDF vewrsion of the DA Form 11-2-R.            (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                 Army Web      sites and most commonly sought products.



                                                                      GM - IR -
                           F&MWRC Internal
 IMWR-HP - Director                          Cashiering - AFRCs      Commercial                                                                              Annual        X     X     X      X        X                        Cash in Bank                                       AR 215-1
                              Functions
                                                                     Audit Firms




                                                                      GM - IR -
                           F&MWRC Internal    Concessionaires -
    GMs - AFRCs                                                      Commercial                                                                              Annual        X     X     X      X        X                                                                           AR 215-1
                              Functions           AFRCs
                                                                     Audit Firms




                                                                      GM - IR -
                           F&MWRC Internal
    GMs - AFRCs                              F&B Costs - AFRCs       Commercial                                                                              Annual        X     X     X      X        X                                                                           AR 215-1
                              Functions
                                                                     Audit Firms




                                                                      GM - IR -
                           F&MWRC Internal Housekeeping Costs -
    GMs - AFRCs                                                      Commercial                                                                              Annual        X     X     X      X        X                                                                           AR 215-1
                              Functions          AFRCs
                                                                     Audit Firms



                                                                      GM - IR -
                           F&MWRC Internal   Overall Operations -
    GMs - AFRCs                                                      Commercial                                                                              Annual        X     X     X      X        X                                                                           AR 215-1
                              Functions            AFRCs
                                                                     Audit Firms




                                                                      GM - IR -
                           F&MWRC Internal
    GMs - AFRCs                                Payroll - AFRCs       Commercial                                                                              Annual        X     X     X      X        X                                                                           AR 215-1
                              Functions
                                                                     Audit Firms




                                                                      GM - IR -
                           F&MWRC Internal    Room Revenue -
    GMs - AFRCs                                                      Commercial                                                                              Annual        X     X     X      X        X                                                                           AR 215-1
                              Functions          AFRCs
                                                                     Audit Firms




                                                                     GM - Agency
                              Financial       AFRC-ARMP Army            Pgm
    GMs - AFRCs                                                                                                                                              Annual        X     X     X      X        X                                                                Redesigned DoD 7000.14R: Oct 06
                             Management      Travel Card Program     Coordinator
                                                                       (APC)




                                                                      GM - IR -
                           F&MWRC Internal    Attraction Ticket
    GMs - AFRCs                                                      Commercial         M                            X                             X         Triennial           X                     X                                                                           AR 215-1
                              Functions        Sales - AFRCs
                                                                     Audit Firms




                 3 of 38                                                                                          D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                           9/24/2010 at 10:16 AM
                                                                                                                               FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                                FREQUENCY
  Assessable               DA DESIGNATED          REQUIRED                                         HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                               LINK
                                                                     REGULATION      REG DATE                               REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                FUNCTION            EVALUATION                                       PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                               RISK)
    (AUM)

                                                                     (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                            (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                         is
                                         DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                            particular organizational level conducting the evaluation)
NOTE:-------------->                                         This link provides       a PDF vewrsion of the DA Form 11-2-R.            (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                  Army Web      sites and most commonly sought products.



                                             General Accounting &      GM - IR -
                           F&MWRC Internal
    GMs - AFRCs                              Financial Reporting -    Commercial                                                                              Triennial           X                     X                                                                    AR 215-1
                              Functions
                                                    AFRCs             Audit Firms




                                                                       GM - IR -
                           F&MWRC Internal       Health Club
    GMs - AFRCs                                                       Commercial                                                                              Triennial                 X                                                                                    AR 215-1
                              Functions       Operations - AFRCs
                                                                      Audit Firms




                                                                       GM - IR -
                           F&MWRC Internal
    GMs - AFRCs                               Inventories - AFRCs     Commercial                                                                              Triennial                 X                                                                                    AR 215-1
                              Functions
                                                                      Audit Firms




                                                                       GM - IR -
                           F&MWRC Internal    Leisure Activities -
    GMs - AFRCs                                                       Commercial                                                                              Triennial           X                     X                                                                    AR 215-1
                              Functions            AFRCs
                                                                      Audit Firms




                                                                       GM - IR -
                           F&MWRC Internal    NAFI Legal Status -
    GMs - AFRCs                                                       Commercial                                                                              Triennial                 X                                                                                    AR 215-1
                              Functions             AFRCs
                                                                      Audit Firms




                                             Property Operations       GM - IR -
                           F&MWRC Internal
    GMs - AFRCs                                & Maintenance -        Commercial                                                                              Triennial           X                     X                                                                    AR 215-1
                              Functions
                                                   AFRCs              Audit Firms




                                                                       GM - IR -
                           F&MWRC Internal     Risk Management
    GMs - AFRCs                                                       Commercial                                                                              Triennial           X                     X                                                                    AR 215-1
                              Functions        Program - AFRCs
                                                                      Audit Firms




                                                                       GM - IR -
                           F&MWRC Internal
    GMs - AFRCs                               Budgeting - AFRCs       Commercial                                                                            Quinquennial          X                                                                                          AR 215-1
                              Functions
                                                                      Audit Firms




                                                                       GM - IR -
                           F&MWRC Internal     MWR Personnel -
    GMs - AFRCs                                                       Commercial                                                                            Quinquennial          X                                                                                          AR 215-1
                              Functions           AFRCs
                                                                      Audit Firms




                                                                       GM - IR -
 General Managers -        F&MWRC Internal     Parking Garage
                                                                      Commercial                                                                            Quinquennial                                                                                                     AR 215-1
      AFRCs                   Functions       Operations - AFRCs
                                                                      Audit Firms




                 4 of 38                                                                                           D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                    9/24/2010 at 10:16 AM
                                                                                                                              FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                               FREQUENCY
  Assessable               DA DESIGNATED         REQUIRED                                         HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                                                 LINK
                                                                    REGULATION        REG DATE                             REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                FUNCTION           EVALUATION                                       PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                              RISK)
    (AUM)

                                                                    (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                           (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                          is
                                          DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                           particular organizational level conducting the evaluation)
NOTE:-------------->                                        This link provides         a PDF vewrsion of the DA Form 11-2-R.          (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                 Army Web         sites and most commonly sought products.


                                                Environmental
                                                                      GM - IR -
 General Managers -        F&MWRC Internal   Protection - AFRCs                                                                                                                                                                                                              AR 200-1 Environmental Protection and
                                                                     Commercial                                                                            Quinquennial          X
      AFRCs                   Functions       (Shades of Green                                                                                                                                                                                                                           Enhancement
                                                                     Audit Firms
                                                    Only)


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



FMWRC              -
Directors                     Financial       Administer Army
                                                                                                                                                             Annual        X     X     X      X        X                                                                          See AUM's Previous Submission
- Office Chiefs              Management         MWR Funds
- General Managers




                                                                     ARMP Key
   FMWRC ARMP                 Financial       Army Recreation                                                                                                                                                                                                           Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                     Mgt. Ctrols                                                                             Annual        X     X     X      X        X
  General Manager            Management       Machine Program                                                                                                                                                                                                               Investigations, and Management Controls
                                                                      ChkLst




   FMWRC Chief
                                                                        Cash
  Finance Officer,                           Cash Management,
                              Financial                              Management
Applicable Directors,                           Banking and                                                                                                  Annual        X     X     X      X        X                                                                          See AUM's Previous Submission
                             Management                             Key Mgt. Ctrls.
 Office Chiefs, and                              Investment
                                                                       ChkLst
 General Managers




   FMWRC Chief
  Finance Officer,                           Centralized Property
                              Financial                              Alternative
Applicable Directors,                           and Casualty                                                                                                 Annual        X     X     X      X        X                                                                          See AUM's Previous Submission
                             Management                               Method
 Office Chiefs, and                          Insurance Program
 General Managers

   FMWRC Chief
  Finance Officer,
                              Financial                              Alternative
Applicable Directors,                          Financial Policy                                                                                              Annual        X     X     X      X        X                                                                          See AUM's Previous Submission
                             Management                               Method
 Office Chiefs, and
 General Managers

   FMWRC Chief
  Finance Officer,
                              Financial      Finance, Accounting     Alternative
Applicable Directors,                                                                                                                                        Annual        X     X     X      X        X                                                                          See AUM's Previous Submission
                             Management         and Reporting         Method
 Office Chiefs, and
 General Managers




                 5 of 38                                                                                          D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                     9/24/2010 at 10:16 AM
                                                                                                                              FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                               FREQUENCY
  Assessable               DA DESIGNATED        REQUIRED                                          HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                                               LINK
                                                                    REGULATION       REG DATE                              REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                FUNCTION          EVALUATION                                        PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                              RISK)
    (AUM)

                                                                    (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                           (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                          is
                                          DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                           particular organizational level conducting the evaluation)
NOTE:-------------->                                         This link provides       a PDF vewrsion of the DA Form 11-2-R.           (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                 Army Web        sites and most commonly sought products.




                           F&MWRC Internal                          MS Staff Point
 IMWR - MS Director                           Classified Material                                                                                            Annual        X     X     X      X        X                                                                    AR 380-5 Army Information Security Program
                              Functions                              of Contact




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




                           F&MWRC Internal     Travel Orders &      MS Staff Point
 IMWR - MS Director                                                                                                                                          Annual        X     X     X      X        X                                                                                  JFTR-DoD FMR
                              Functions        Vouchers (DTS)        of Contact




                              Financial      APF Purchase Card      MS Staff Point                                                                                                                                                                                        Army GPC Program SOP and Appendix E Review
 IMWR - MS Director                                                                                                                                          Annual        X     X     X      X        X
                             Management       Review : Part A        of Contact                                                                                                                                                                                                     Guidelines and Checklist




                              Financial      APF Purchase Card      MS Staff Point
 IMWR - MS Director                                                                                                                                          Annual        X     X     X      X        X
                             Management        Review: Part B        of Contact




                 6 of 38                                                                                          D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                    9/24/2010 at 10:16 AM
                                                                                                                             FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                              FREQUENCY
  Assessable               DA DESIGNATED        REQUIRED                                         HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                                           LINK
                                                                   REGULATION       REG DATE                              REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                FUNCTION          EVALUATION                                       PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                             RISK)
    (AUM)

                                                                   (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                          (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                         is
                                         DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                          particular organizational level conducting the evaluation)
NOTE:-------------->                                        This link provides       a PDF vewrsion of the DA Form 11-2-R.           (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                Army Web        sites and most commonly sought products.



                             Financial      APF Purchase Card      MS Staff Point
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X
                            Management        Review: Part C        of Contact




                                                                    MS Agency
                             Financial       Army Travel Card        Program
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X                                                                     Redesigned DoD 7000.14R _Oct 06
                            Management          Program             Coordinator
                                                                      (APC)




                             Financial         Budget Office       MS Staff Point                                                                                                                                                                                         DFAS 37-IN: Finance & Accounting Policy
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X
                            Management          Functions           of Contact                                                                                                                                                                                                        Implementation




                             Financial        Civilian Payroll     MS Staff Point
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X                                                                       See AUM's Previous Submission
                            Management         Procedures           of Contact




                             Financial     Confidential Statement MS Staff Point
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X                                                                       See AUM's Previous Submission
                            Management      of Financial Interest  of Contact




                             Financial       Fire & Emergency      MS Staff Point
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X                                                                                 AR 420-90
                            Management            Services          of Contact




                             Financial       Physical Security     MS Staff Point
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X                                                                AR 190-13_The Army Physical Security Program
                            Management      Inspection Program      of Contact



                             Financial     Property Accountability MS Staff Point                                                                                                                                                                                      AR 735-5: Policies and Procedures for Property
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X
                            Management           & Control          of Contact                                                                                                                                                                                                         Accountability




                             Financial     Safety, Occupational    MS Staff Point
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X                                                                    AR 385-10: The Army Safety Program
                            Management     and Physical Security    of Contact




                             Financial     Safety, Occupational    MS Staff Point                                                                                                                                                                                        AR 385-16: Safety System Engineering and
 IMWR - MS Director                                                                                                                                         Annual        X     X     X      X        X
                            Management     and Physical Security    of Contact                                                                                                                                                                                                         Management




                 7 of 38                                                                                         D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                 9/24/2010 at 10:16 AM
                                                                                                                             FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                                    FREQUENCY
  Assessable               DA DESIGNATED          REQUIRED                                       HQ IMCOM    DA       HQ                                        (BASED ON         FY
                                                                                                                                                                                                                                                                                                 LINK
                                                                    REGULATION       REG DATE                             REGION GARRISON                                 FY 08        FY 10 FY 11 FY 12                EVALUATION              GUIDE
 Unit Manager                FUNCTION            EVALUATION                                     PROPONENT PROPONENT IMCOM                                      POTENTIAL          09
                                                                                                                                                                   RISK)
    (AUM)

                                                                   (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                           (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                         is
                                         DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                           particular organizational level conducting the evaluation)
NOTE:-------------->                                         This link provides       a PDF vewrsion of the DA Form 11-2-R.            (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                 Army Web        sites and most commonly sought products.
                                                                                                                                X
                                                                                                                                                                                                            CUSTOMIZED CHECKLIST (SEE ATTACHED TAB D -
                                                                                                                            (Evaluat
                                                                                                                                                                                                             SHEET 4 OR ALTERNATIVE METHODS) AT SOME
                                                                                                                                e                     X
                                                                                                                                                                                                           INSTALLATIONS, INDIVIDUALS ACTIVITIES, SUCH AS
                                                                                                                            IMCOM-              (Applies to
                                                                                                                                                                                                           DOL, DINING FACILITY OR DPW, MAKE PURCHASES
                                                                                                                               wide               IMCOM
                                               PRIME VENDOR                                                                                                                                                 FROM A PRIME VENDOR. AN EVALUATOR AT THE
                            FINANCIAL                               DFAS-IN 37-1                                            controls              activities
                                               AUTHORIZATION                           Jan-00        RM           DFAS                    O                      Biennial     X         X             X       GARRISON NEEDS TO CONDUCT AN OVERALL
                           MANAGEMENT                               (CHAPTER 9)                                             ; review             that order
                                                 PROCESS                                                                                                                                                     GARRISON EVALUATION TO DETERMINE WHICH
                                                                                                                            samplin            directly from
                                                                                                                                                                                                             ACTIVITIES DO THIS, AND WHEATEAR THEY ARE
                                                                                                                               g of                a prime
                                                                                                                                                                                                             DOING THIS, AND WHETHER THEY ARE DOING IT
                                                                                                                            garrison              vendor)
                                                                                                                                                                                                           PROPERLY, AND WHETHER A GARRISON POLICY OR
                                                                                                                            evaluati
                                                                                                                                                                                                            SOP IS NEEDED TO STANDARDIZE THE PROCESS.
                                                                                                                               ons)
                                             DISTRIBUTION AND
                                               EXECUTION OF
                                                                                                                            X Done
                                               APPROPRIATED         DFAS-IN 37-1;
                                                                                                                            by MSO
                            FINANCIAL           FUNDS (NOTE:          DOD FMR                                                                                                                                                                                           https://dfas4dod.dfas.mil/centers/dfasin/library/regs.ht
                                                                                       Jan-00        RM           DFAS        with        X         X            Annual       X   X     X      X      X            DFAS MANUAL CHECKLIST (APP. W)
                           MANAGEMENT           REGIONS AND          DFAS-IN 37-                                                                                                                                                                                                                   m
                                                                                                                            Division
                                              GARRISONS ONLY            100
                                                                                                                             Input
                                             DO THE EXECUTION
                                                  PORTION)
                                              REPRESENTATION
                            FINANCIAL                                                                                                                                                                                                                                   http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r37_4
                                             FUNDS OF THE SEC         AR 37-47        Mar-04         RM           SAFM         X          X         X          Quinquennial             X                                 AR CHECKLIST (APP. B)
                           MANAGEMENT                                                                                                                                                                                                                                                         7/head.asp
                                                OF THE ARMY
                                                                                                                            X Done
FMWRC              -
                                                                                                                            by MSO
Directors                   FINANCIAL           GOVT TRAVEL         OMB Circular                                                                                                                               EVALUATE COMPLIANCE WITH APP B, OMB                      http://www.whitehouse.gov/omb/circulars/a123/a123_re
                                                                                      Aug-05         RM           SAFM        with        X         X            Annual       X   X     X      X      X
- Office Chiefs            MANAGEMENT             CARDS               a_123                                                                                                                                  CIRCULAR A-123 & THE ARMY SOP CHECKLIST.                                           v.pdf
                                                                                                                            Division
- General Managers
                                                                                                                             Input
                                               BASE SUPPORT
                                              REIMBURSEMENT-
                            FINANCIAL           ISA/MOU/MOA    DODI 4000.19 Aug 95 & Oct                                                                                                                    AR 5-9 & CUSTOMIZED CHECKLIST (SEE TAB ISSA                 http://www.dtic.mil/whs/directives/corres/pdf/i400019_0
                                                                                                     RM           DAIM         O          O         X            Annual       X   X     X      X      X
                           MANAGEMENT        PROCESS AND AREA AND AR 5-9         98                                                                                                                                         CHECKLIST)                                                    80995/i400019p.pdf
                                                  SUPPORT
                                              RESPONSIBILITIES
                            FINANCIAL             FINANCIAL                                                                                                                                                                                                             http://www.wsmr.army.mil/workforce/InternalReview/do
                                                                 AR 11-2      Oct-94               USAEC          SAFM         X          O         O            Annual       X   X     X      X                               AR CHECKLIST
                           MANAGEMENT          MANAGEMENT                                                                                                                                                                                                                                  cs/r11_2.pdf
                                                                                                     RM
                                                                                                  (APPLIES
                                                                                                  ONLY TO
                                                                                                 ACTIVITIES
                                                                                                                                                                                                            ALTERNATIVE METHOD (MANAGER'S CHOICE) IN
                            FINANCIAL          INTERNATIONAL                                    RESPONSIBL
                                                                      AR 550-51        Apr-98                     DAIM                    X         X            Triennial              X                     CONJUNCTION WITH INSTALLATION STATUS                           http://www.apd.army.mil/pdffiles/r550_51.pdf
                           MANAGEMENT           AGREEMENTS                                          E FOR
                                                                                                                                                                                                                            REPORT
                                                                                                AGREEMENT
                                                                                                   S WITH
                                                                                                  FOREIGN
                                                                                                 ENTITIES.)
                                                                                                                            X Done
                                                                   DOD Financial                                            by MSO
                            FINANCIAL         DEFENSE TRAVEL                                                                                                                                                                                                                  http://www.asafm.army.mil/fo/fod/dts/dts-
                                                                   Mgt Regulation,     Apr-06   OASIS MOST OASIS MOST         with        X         X            Annual       X   X     X      X      X               CHECKLIST INCLUDED IN LINK
                           MANAGEMENT             SYSTEM                                                                                                                                                                                                                                 wp/dr/checklist.pdf
                                                                    Vol 9, Ch 2                                             Division
                                                                                                                             Input
                            FINANCIAL            FINANCIAL                                                                                                                                                                                                              https://dfas4dod.dfas.mil/centers/dfasin/library/regs.ht
                                                                     DFAS 37-1         Jan-00      USAEC          DFAS         X          O         O            Annual       X   X     X      X      X                          CHECKLIST
                           MANAGEMENT           MANAGEMENT                                                                                                                                                                                                                                         m
                                                                   DOD Financial
                            FINANCIAL            FINANCIAL                                                      OACSIM                                                                                                                                                        http://www.asafm.army.mil/fo/fod/dts/dts-
                                                                   Mgt Regulation,     Apr-08      USAEC                       X          O         O            Annual       X   X     X      X      X                          CHECKLIST
                           MANAGEMENT           MANAGEMENT                                                       MSO                                                                                                                                                                     wp/dr/checklist.pdf
                                                                    Vol 9, Ch 2
                            FINANCIAL             FINANCIAL         DODI 4000.19 Aug 95 & Oct
                                                                                                   USAEC          DAIM         X          O         O            Annual       X   X     X      X      X              USAEC DEVELOPED CHECKLIST
                           MANAGEMENT           MANAGEMENT            & AR 5-9        98
                                               Defense Business
                           F&MWRC Internal   System Modernization Responsible IM                                                                                                                                                                                              GUIDANCE for Defense Business System
 IMWR - IM Director                                                                                                                                                           X   X     X      X      X
                              Functions      Certification Approval Division Chief                                                                                                                                                                                                  Modernization: Business
                                                     Process
                                                Management of
                           F&MWRC Internal   information resources Responsible IM                                                                                                                                                                                            AR 25-1: Army Knowledge Management and
 IMWR - IM Director                                                                                                                                                           X   X     X      X      X
                              Functions         and information     Division Chief                                                                                                                                                                                                     Information Technology
                                                   technology
                                                 Army Knowledge
                           F&MWRC Internal                          Responsible IM
 IMWR - IM Director                             Management and                                                                                                                X   X     X      X      X
                              Functions                             Division Chief
                                             Information Technology




                 8 of 38                                                                                         D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                      9/24/2010 at 10:16 AM
                                                                                                                                   FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                                     FREQUENCY
  Assessable               DA DESIGNATED           REQUIRED                                            HQ IMCOM    DA       HQ                                   (BASED ON           FY
                                                                                                                                                                                                                                                                                                     LINK
                                                                         REGULATION       REG DATE                              REGION GARRISON                            FY 08          FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                FUNCTION             EVALUATION                                          PROPONENT PROPONENT IMCOM                                 POTENTIAL            09
                                                                                                                                                                    RISK)
    (AUM)

                                                                         (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                                (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                           is
                                           DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                                particular organizational level conducting the evaluation)
NOTE:-------------->                                            This link provides         a PDF vewrsion of the DA Form 11-2-R.           (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                      Army Web        sites and most commonly sought products.

                           F&MWRC Internal    Telecommunications - Responsible IM
 IMWR - IM Director                                                                                                                                                             X     X     X      X        X                                                                                      AR 25-1
                              Functions            Telephone       Division Chief

                           F&MWRC Internal                               Responsible IM
 IMWR - IM Director                           Information Assurance                                                                                                             X     X     X      X        X                                                                        AR 25-2: Army Information Assurance
                              Functions                                  Division Chief

                           F&MWRC Internal    Financial Management Responsible IM
 IMWR - IM Director                                                                                                                                                             X     X     X      X        X                                                                          See AUM's Previous Submission
                              Functions              Systems       Division Chief

                                                                         Responsible IM
 IMWR - IM Director        Mandatory Training Information Awareness                                                                                                             X     X     X      X        X                                                                          See AUM's Previous Submission
                                                                         Division Chief
                                                  Official Mail &
                           F&MWRC Internal                               Responsible IM
 IMWR - IM Director                                Distribution                                                                                                                       X                                                                                                            AR 25-51
                              Functions                                  Division Chief
                                                  Management




                                               ARMY ENTERPRISE
                                                 ARCHITECTURE
                                              (includes IMCOM Web
                                                Standardization) (At
                                                 garrison level, this
                                                                                                                                                                                                                                                                             http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/
                            INFORMATION         evaluation does not
                                                                            AR 25-1         Jul-05       PLANS        G-6/SAIS       X               X (DOIM)     Biennial            X            X                      AR CHECKLIST (APP C Para C-4 c)                                          cover.asp
                            MANAGEMENT           apply to OCONUS
                                                 IMCOM activities
                                                 where Signal Bdes
                                                separately evaluate
                                                   DOIM related
                                                     functions)




                                                 INFORMATION
                                              ASSURANCE (May be
                                               combined with Army
                                                  Info Assurance
                                               Program eval below)
                                              (At garrison level, this
                            INFORMATION                                                                                                       O                                                                                                                              http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/
                                               evaluation does not          AR 25-1         Jul-05       PLANS        G-6/SAIS       O               X (DOIM)     Biennial      X           X               X             AR CHECKLIST (APP C Para C-4 d)
                            MANAGEMENT                                                                                                      (RCIO)                                                                                                                                                 cover.asp
                                                apply to OCONUS
                                                IMCOM activities
                                                where Signal Bdes
                                               separately evaluate
                                                   DOIM related
                                                     functions)




                                              ARMY INFORMATION
                                                   ASSURANCE
                                               PROGRAM (May be
                                                combined with Info
                                              Assurance eval above)
                                              (At garrison level, this
                            INFORMATION                                                                                                       O
                                               evaluation does not          AR 25-2         Oct-07       PLANS        G-6/SAIS       O               X (DOIM)     Biennial      X           X               X                   AR CHECKLIST (APP C)                               http://www.apd.army.mil/pdffiles/r25_2.pdf
                            MANAGEMENT                                                                                                      (RCIO)
                                                apply to OCONUS
                                                 IMCOM activities
                                                where Signal Bdes
                                               separately evaluate
                                                   DOIM related
                                                    functions)




                 9 of 38                                                                                               D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                     9/24/2010 at 10:16 AM
                                                                                                                                  FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                                    FREQUENCY
  Assessable                DA DESIGNATED            REQUIRED                                         HQ IMCOM    DA       HQ                                   (BASED ON            FY
                                                                                                                                                                                                                                                                                                   LINK
                                                                        REGULATION       REG DATE                              REGION GARRISON                            FY 08           FY 10 FY 11 FY 12                 EVALUATION              GUIDE
 Unit Manager                 FUNCTION              EVALUATION                                       PROPONENT PROPONENT IMCOM                                 POTENTIAL             09
                                                                                                                                                                   RISK)
    (AUM)

                                                                        (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                               (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                            is
                                            DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                               particular organizational level conducting the evaluation)
NOTE:-------------->                                             This link provides       a PDF vewrsion of the DA Form 11-2-R.             (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                     Army Web        sites and most commonly sought products.
                                                                                                                                                                                                               ALTERNATIVE METHOD (MANAGER'S CHOICE) (THE
                                                                                                                                                                                                                 5-YEAR MCP EVALUATION DOES NOT TAKE THE
  FMWRC Support                                                                                                                                                                                                        PLACE OF THE REQUIRED 3-YEAR
                                                  OFFICIAL MAIL &
  Services Director          INFORMATION                                                                            OAA to SEC                                                                                  MACOM/INTERMEDIATE COMMAND "SURVEY" OF
                                                   DISTRIBUTION           AR 25-51        Nov-92          HR                        O          O        X       Quinquennial                               X                                                                     http://www.apd.army.mil/pdffiles/r25_51.pdf
    and General              MANAGEMENT                                                                               ARMY                                                                                      OFFICIAL MAIL PROGRAMS, BUT THE DATE FROM
                                                   MANAGEMENT
     Managers                                                                                                                                                                                                         THESE SURVEYS MAY BE USED AS
                                                                                                                                                                                                                    DOCUMENTATION TO BACK-UP THE MCP
                                                                                                                                                                                                                                EVALUATION.)




                                                                                                                                 X Done
  FMWRC Support
                                                                                                                                 by MSO                                                                           AR CHECKLIST (APP C Para C-4 g) (REGIONS
  Services Director          INFORMATION            RECORDS                                                         OAA to SEC                                                                                                                             http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/
                                                                         AR 25-400-2       Oct-07         HR                      With         X        X         Triennial                X                   EVALUATE THE GARRISONS TO DETERMINE IF THEY
    and General              MANAGEMENT            MANAGEMENT                                                         ARMY                                                                                                                                                       cover.asp
                                                                                                                                 Division                                                                       ARE COMPLYING WITH REGULATORY GUIDANCE).
     Managers
                                                                                                                                  Input




                                                                                                                                 X Done
  FMWRC Human
                                                                                                                                 by MSO
 Resorses Director,          INFORMATION           DA FREEDOM OF                                                    OAA to SEC                                                                                                                                               AR 25-55 - The Department of the Army Freedom of
                                                                          AR 25-55        Nov-97          HR                      With         O        X       Quinquennial                               X                  AR CHECKLIST (APP H)
 Office Chiefs, and          MANAGEMENT          INFO ACT PROGRAM                                                     ARMY                                                                                                                                                     Information Act Program, Appendix H, Page 38
                                                                                                                                 Division
 General Managers
                                                                                                                                  Input
                             INFORMATION           INFORMATION                                                                                                                                                                                                              http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_5
                                                                          AR 25-55        Nov-97          HR          CIO/G-6       X          O        O         Biennial           X            X                                  CHECKLIST
                             MANAGEMENT            MANAGEMENT                                                                                                                                                                                                                                     5/head.asp
                                                                                                     INTERNAL
                                                                                                    REVIEW AND
   FMWRC Internal              INTERNAL
                                                      REVIEWS              AR 11-7         Oct-07      AUDIT          DA -IR        O          O        X       Quinquennial               X                                  AR CHECKLIST (APP B)                             http://www.army.mil/usapa/epubs/pdf/r11_7.pdf
  Audit Office Chief            REVIEW
                                                                                                    COMPLIANCE
                                                                                                     PROGRAM



                                                 Established a 5-year
                            F&MWRC Internal                             IR MCP Point
   IMWR - IR Chief                               Management Control                                                                                               Annual         X   X     X      X        X                                                                    AR 11-2 Army Program Management control
                               Functions                                  of Contact
                                                     Plan (MCP)




                            F&MWRC Internal       Internal & External    Applicable IR                                                                                                                                                                                         AR 11-7 Internal Review and Audit Compliance
   IMWR - IR Chief                                                                                                                                              Quinquennial               X
                               Functions           Liaison Reviews           Staff                                                                                                                                                                                                               Program




                                                 Management Control      Applicable IR
   IMWR - IR Chief          Mandatory Training                                                                                                                  Quinquennial               X                                                                                    AR 11-2 Army Program Management control
                                                 Evaluation Program          Staff


                                SENIOR                SENIOR
                             MANAGEMENT            MANAGEMENT
                              OBJECTIVES            OBJECTIVES
   FMWRC Internal                                                                                                                                                                                                                                                           http://www.wsmr.army.mil/workforce/InternalReview/do
                               INCLUDE               INCLUDE               AR 11-2         Oct-94       USAEC          SAFM         X          O        O         Annual         X   X     X      X        X             USAEC DEVELOPED CHECKLIST
  Audit Office Chief                                                                                                                                                                                                                                                                           cs/r11_2.pdf
                             MANAGEMENT            MANAGEMENT
                               CONTROL               CONTROL
                              STATEMENT             STATEMENT




                 10 of 38                                                                                             D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                    9/24/2010 at 10:16 AM
                                                                                                                            FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                             FREQUENCY
  Assessable                DA DESIGNATED       REQUIRED                                        HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                                            LINK
                                                                  REGULATION      REG DATE                               REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                 FUNCTION         EVALUATION                                      PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                            RISK)
    (AUM)

                                                                  (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                         (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                          is
                                          DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                         particular organizational level conducting the evaluation)
NOTE:-------------->                                      This link provides       a PDF vewrsion of the DA Form 11-2-R.            (Note: Jan 94 version is obsolete)

NOTE:-------------->                                               Army Web      sites and most commonly sought products.




                                                                     Annual
                                               Armed Forces        Commercial
   FMWRC Internal             Financial      Recreation Centers    Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                                                                                                           Annual        X     X     X      X        X
  Audit Office Chief         Management     (AFRC) Funds Group        215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                   (AFG)           Appendix N
                                                                    Checklist




                                                                     Annual
                                                                   Commercial
   FMWRC Internal             Financial        Army Banking &      Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                                                                                                           Annual        X     X     X      X        X
  Audit Office Chief         Management       Investment Fund         215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                                   Appendix N
                                                                    Checklist




                                                                     Annual
                                                                   Commercial
   FMWRC Internal             Financial         Army Central       Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                                                                                                           Annual        X     X     X      X        X
  Audit Office Chief         Management       Insurance Fund          215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                                   Appendix N
                                                                    Checklist




                                                                     Annual
                                                                   Commercial
   FMWRC Internal             Financial                            Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                            Army Lodging Fund                                                                                              Annual        X     X     X      X        X
  Audit Office Chief         Management                               215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                                   Appendix N
                                                                    Checklist




                                                                     Annual
                                                                   Commercial
   FMWRC Internal             Financial     Army Lodging Single    Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                                                                                                           Annual        X     X     X      X        X
  Audit Office Chief         Management       Operating Fund          215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                                   Appendix N
                                                                    Checklist




                 11 of 38                                                                                       D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                    9/24/2010 at 10:16 AM
                                                                                                                             FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                              FREQUENCY
  Assessable                DA DESIGNATED        REQUIRED                                        HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                                              LINK
                                                                   REGULATION      REG DATE                               REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                 FUNCTION          EVALUATION                                      PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                             RISK)
    (AUM)

                                                                   (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                          (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                          is
                                          DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                          particular organizational level conducting the evaluation)
NOTE:-------------->                                       This link provides       a PDF vewrsion of the DA Form 11-2-R.            (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                Army Web      sites and most commonly sought products.




                                                                      Annual
                                                                    Commercial
   FMWRC Internal             Financial       Army Medical/Life     Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                                                                                                            Annual        X     X     X      X        X
  Audit Office Chief         Management            Fund                215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                                    Appendix N
                                                                     Checklist




                                                                      Annual
                                                                    Commercial
   FMWRC Internal             Financial      Army Morale Welfare    Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                                                                                                            Annual        X     X     X      X        X
  Audit Office Chief         Management      and Recreation Fund       215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                                    Appendix N
                                                                     Checklist




                                                                      Annual
                                                                    Commercial
   FMWRC Internal             Financial      Army NAF Employee      Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                                                                                                            Annual        X     X     X      X        X
  Audit Office Chief         Management      401(k) Savings Plan       215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                                    Appendix N
                                                                     Checklist




                                                                      Annual
                                                                    Commercial
   FMWRC Internal             Financial      Army NAF Employee      Audit or AR                                                                                                                                                                                        Chapter 18, AR 215-1: Audits, Reviews, Inspections,
                                                                                                                                                            Annual        X     X     X      X        X
  Audit Office Chief         Management        Retirement Plan         215-1                                                                                                                                                                                               Investigations, and Management Controls
                                                                    Appendix N
                                                                     Checklist




   FMWRC Judge                                                                                                                                                                                                                                                         http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r27_2
                            LEGAL SERVICES        CLAIMS             AR 27-20        Jul-03        LEGAL          DAJA         O        O         X       Quinquennial    X                                               AR CHECKLIST (APP B)
     Advocate                                                                                                                                                                                                                                                                               0/cover.asp




                 12 of 38                                                                                        D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                    9/24/2010 at 10:16 AM
                                                                                                                                  FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                                   FREQUENCY
  Assessable                DA DESIGNATED             REQUIRED                                        HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                                                  LINK
                                                                        REGULATION       REG DATE                              REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                 FUNCTION               EVALUATION                                      PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                                  RISK)
    (AUM)

                                                                        (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                               (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                            is
                                            DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                               particular organizational level conducting the evaluation)
NOTE:-------------->                                             This link provides       a PDF vewrsion of the DA Form 11-2-R.           (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                     Army Web        sites and most commonly sought products.


   FMWRC Judge                                                           Applicable JA
                            Mandatory Training     Acquisition Ethics                                                                                            Annual        X     X     X      X        X
     Advocate                                                                Staff



   FMWRC Judge                                                           Applicable JA                                                                                                                                                                                      Joint Ethics Reg DoD 5500.7R: Standards of Ethical
                            Mandatory Training          Ethics                                                                                                   Annual        X     X     X      X        X
     Advocate                                                                Staff                                                                                                                                                                                                      Conduct and Ethics Guidance



   FMWRC Judge              F&MWRC Internal                              Applicable JA
                                                        Claims                                                                                                 Quinquennial                       X                                                                                 AR 27-20 Legal Services CLAIMS
     Advocate                  Functions                                     Staff

FMWRC Plans and
Operations Director         MANAGEMENT              ARMY SAFETY
                                                                          AR 385-10       Aug-07       SAFETY          DACS         O        O         X         Biennial      X           X               X                      PAM CHECKLIST                                http://www.apd.army.mil/pdffiles/r385_10.pdf
   and General              AND COMMAND              PROGRAM
    Managers
                                                     MANPOWER
                              PERSONNEL             MANAGEMENT             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
                                                     FUNCTIONS


                            F&MWRC Internal           Employee          MS Staff Point
 IMWR - MS Director                                                                                                                                              Triennial           X                     X
                               Functions           Development Plan      of Contact




                            F&MWRC Internal         Leadership and      MS Staff Point
 IMWR - MS Director                                                                                                                                              Triennial                 X
                               Functions         Program Management      of Contact


                                                 Performance Standards
                            F&MWRC Internal                            MS Staff Point
 IMWR - MS Director                                   & Evaluation                                                                                               Triennial           X                     X
                               Functions                                of Contact
                                                       Documents


                               Financial         APF Funds Distribution MS Staff Point
 IMWR - MS Director                                                                                                                                              Triennial     X                  X                                                                                             DFAS-37-1
                              Management             & Execution         of Contact




                               Financial              Personnel         MS Staff Point
 IMWR - MS Director                                                                                                                                              Triennial     X                  X                                                                                             AR 215-3
                              Management             Management          of Contact




                            F&MWRC Internal         Serious Incident    MS Staff Point
 IMWR - MS Director                                                                                                                                            Quinquennial          X                                                                                                          AR 190-40
                               Functions               Reporting         of Contact




                            F&MWRC Internal         NAF Employee
  IMWR-HR Director                                                                                                                                               Annual        X     X     X      X        X
                               Functions            Benefits Office



                            F&MWRC Internal         F&MWRC HR
  IMWR-HR Director                                                                                                                                               Annual        X     X     X      X        X
                               Functions          Employee Database


                                                     EDUCATION
                                                   INCENTIVES AND
   MWR Academy                                     ENTITLEMENTS -        AR 621-202                                                                                                                                                                                         http://www.asafm.army.mil/fo/fod/mc/amcec/app_d-
                              PERSONNEL                                                    Jan-95         HR         G-1/DAPE       O        O         X       Quinquennial                                X                   AR CHECKLIST (APP D)
     Director                                     ARMY CONTINUING        CHANGE 1                                                                                                                                                                                                                 e.pdf
                                                 EDUCATION SYSTEM
                                                       (ACES)
FMWRC Plans and
                                                      ANTI-                                                                                                                                                       AR CHECKLIST (APP C) PROVIDE COPIES OF
Operations Director                                                                                                                                                                                                                                                         http://www.asafm.army.mil/fo/fod/mc/amcec/DAMO-
                               SECURITY          TERRORISM/FORCE          AR 525-13        Jan-02        OPS          OPMG          O        O         X         Annual        X     X     X      X        X   EVALUATIONS TO IMAH-OPD-E (IMCOM EMERGENCY
   and General                                                                                                                                                                                                                                                                                AR525-13.doc
                                                   PROTECTION                                                                                                                                                          SERVICES BRANCH ATTN: ATO)
    Managers



                 13 of 38                                                                                             D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                   9/24/2010 at 10:16 AM
                                                                                                                              FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan




 FMWRC Hqs.                                                                                                                                               FREQUENCY
  Assessable                DA DESIGNATED       REQUIRED                                          HQ IMCOM    DA       HQ                                  (BASED ON            FY
                                                                                                                                                                                                                                                                                                LINK
                                                                    REGULATION      REG DATE                               REGION GARRISON                           FY 08           FY 10 FY 11 FY 12                  EVALUATION              GUIDE
 Unit Manager                 FUNCTION         EVALUATION                                        PROPONENT PROPONENT IMCOM                                POTENTIAL             09
                                                                                                                                                              RISK)
    (AUM)

                                                                    (O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
                                                                                                                                                                                                           (Use only the questions that apply to IMCOM and to the
NOTE:-------------->                                         is
                                         DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
                                                                                                                                                                                                           particular organizational level conducting the evaluation)
NOTE:-------------->                                        This link provides       a PDF vewrsion of the DA Form 11-2-R.             (Note: Jan 94 version is obsolete)

NOTE:-------------->                                                 Army Web       sites and most commonly sought products.

                                                                                                                               O for
                                                                                                                             Regions
  FMWRC Support                                                      AR 710-2, AR                                               ;X
                                              RETAIL SUPPLY                         Jul 05;Nov
  Services Director                                                 725-50, AR 735-                                          Done by                                                                         AR CHECKLIST (APP. B) IN CONJUNCTION WITH
                               SUPPLY         OPERATIONS -                            95;Feb         LOG         G-4/DALO                 O        X         Annual         X    X     X      X        X                                                                    http://www.usapa.army.mil/pdffiles/r710_2.pdf
    and General                                                     5, DA PAM 710-                                             MSO                                                                                           CSDP/CLIP
                                             PROPERTY BOOK                          05;Dec 97
     Managers                                                             2-1                                                 for HQ
                                                                                                                             Propert
                                                                                                                                 y
  FMWRC Support                               POLICIES AND
  Services Director                         PROCEDURES FOR                                                                                                                                                     AR 735-5 PARA. 1-6 AND AR 710-2 TABLE B-1                http://www.army.mil/usapa/epubs/pdf/r735_5_d200502
                               SUPPLY                                 AR 735-5        Feb-05         LOG         G-4/DALO       O         O        X         Annual         X    X     X      X        X
    and General                                PROPERTY                                                                                                                                                                     THROUGH B-6                                                        28.pdf
     Managers                                ACCOUNTABILITY




FMWRC              -
Directors                                   Anti-Discrimination -                                                                                                                                                                                                       Training site for the Notification and Federal Employee
                              TRAINING                                                                                                                       Annual         X    X     X      X        X
- Office Chiefs                             Retaliation Training                                                                                                                                                                                                        Antidiscrimination and Retaliation Ace (No FEAR Act).
- General Managers




FMWRC              -
                                            Prevention of Sexual
Directors
                              TRAINING      Harassment (POSH)                                                                                                Annual         X    X     X      X        X
- Office Chiefs
                                                 Training
- General Managers




  FMWRC Judge
Advocate, Directors,                        ANTITERRORISM
                              TRAINING                                                                                                                       Annual         X    X     X      X        X                                                                       ANTITERRORISM LEVEL I TRAINING
 Office Chiefs, and                         LEVEL I TRAINING
 General Managers



  FMWRC Judge
                                                                                                                                                                                                             All OGE 450, SF 278 FILLERS AND ACQUISITION
Advocate, Directors,
                              TRAINING       ETHICS TRAINING          AR 350-1        Nov-07         Legal        OTJAG         X         X        X         Annual         X    X     X      X        X      PERSONNEL WILL COMPLETE ONE HOUR OF                           http://www.usapa.army.mil/pdffiles/r350_1.pdf
 Office Chiefs, and                                                                                                                                                                                                    ANNUAL ETHICS TRAINING.
 General Managers
  FMWRC Judge
                                                                     Joint Ethics
Advocate, Directors,                                                                                                                                                                                                                                                    http://www.dod.mil/dodgc/defense_ethics/ethics_regula
                              TRAINING           TRAINING             Reg DOD         Nov-07        USAEC         OTJAG         X         X        X         Annual         X    X     X      X        X             USAEC DEVELOPED CHECKLIST
 Office Chiefs, and                                                                                                                                                                                                                                                                       tion/dir550007.pdf
                                                                      5500.7R
 General Managers




                 14 of 38                                                                                         D:\Docstoc\Working\pdf\6ddefc7d-40bd-4529-b36e-e9da0d3a586a.xlsHQ IMA MCP FY 07-11                                                                                     9/24/2010 at 10:16 AM
                                                 TAB F

                             INTERNAL CONTROL EVALUATION GUIDE

Function: TIME AND ATTENDANCE MANAGEMENT

Purpose: The purpose of this checklist is to assist the IMA 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 IMA 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 IMA activity to work overtime to
fulfill a support requirement, is the IMA 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.):
*
*
*
                                                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 17                                                                         TAB A, EXPLOSIVES CHECKLIST
   10c    Review explosives actions for accuracy and
          completeness prior to forwarding to the IMA 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 18                                                                     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 19                    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 20                    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 21                    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 22                    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 23                    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 24                    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) IMA 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 IMA 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 25                      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 26                     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 27                      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 28                        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, IMA NETCALL #18, the most current IMA OMA
Funding Guidance, AR 5-9, Army Reimbursable Policy, and the most current IMA 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 IMA 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 37                        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 38                        TAB D, DBSMC CHECKLIST

				
DOCUMENT INFO
Description: Samples of Business Memos document sample