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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
FMWRC                                                            STANDARDS ACT
                                                                     AND ARMY         Army Reg
- Directors                               Time and Addendance                                        CHIEF OF                                                                                                CUSTOMIZED CHECKLIST - DEVELOPED BY
                                                                 ADMINISTRAVTIVE       215_3,
   - Office Chiefs         ADMINISTRATION Management - AR 690-       & CIVILIAN
                                                                                                    STAFF, HRD    ACS         X        X          X         Annual        X      X     X      X       X   WESTPOINT - PROVIDED IN ATTACHED FILE NAMED
                                                                                     Chapter 17 &
     - General                                   990-2              PERSONNEL                         & MSO                                                                                                          "TIME AND ATTENDANCE"
                                                                                      Appendix D
Managers                                                         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
                                                                   ACT AND
                           ADMINISTRATION    ADMINISTRATION                            VARIED         USAEC       ACS         X        O         O          Annual        X      X     X      X       X   CHECKLIST AS A SYSTEM ITSELF HAS CHECKS AND
                                                                     ARMY
                                                                 ADMINISTRATI                                                                                                                                        BALANCES INCORPORATE.
                                                                 VE & CIVILIAN
                                                                 PERSONNEL
                                                                 POLICIES; AR
                                                                 690-990-2; AR
                                                                   1-3 (NCR)
                                                                   DOD FMR,                                                                                                                                  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
                                                 (ACS)
                                                                                                                                                                                                          ACCREDITATION 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 39                                                                                         C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                   2/25/2011 at 4:08 PM
                                                                                                                            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
                                                                                                                                                                                                              MEMO #44 MWR BUSINESS PROGRAMS
                           BASE SUPPORT             NON-             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
                                                                                                                                                                                                            CORPORATE STRATEGY FOR PERFORMANCE
                                               APPROPRIATED
                                                                                                                                                                                                         IMPROVEMENT WHICH INCLUDES AN APPENDIX A -
                                                   FUND
                                                                                                                                                                                                          IMCOM BUSINESS PROGRAMS SCORECARD AND
                                             INSTRUMENTALITIES
                                                                                                                                                                                                         AN APPENDIX B - INTERNAL CONTROLS CHECKLIST
                                              MORALE WELFARE
 NAF Contracting,                              & RECREATION
                                               ACTIVITIES AND    AR 215-4:
applicable FMWRC
                                                     NON-      Nonappropriat                                                                                                                                                                                          AFARS Appendix BB Management Control Evaluation
 Directors, Office         BASE SUPPORT                                                                                                                     Annual         X   X      X      X       X          http://usassi-www.army.mil/references.html
                                               APPROPRIATED      ed Fund                                                                                                                                                                                                Checklist - Contract Manageemnt within FMWRC
Chiefs, and General
                                                    FUND        Contracting
     Managers
                                             INSTRUMENTALITIES
                                                 Procurement                                                               X Done
                                                                                                                              by
 NAF Contracting -                                                                                                                                                                                           EVALUATE COMPLIANCE WITH APP B, OMB
                            CONTRACT/                             OMB Circular                                              MSO
 Billing Officials -                         PURCHASE CARDS                         Aug-05          RM           ACA                     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                                                   with
    Cardholders                                                                                                                                                                                                       AND INSTRUCTIONS.
                                                                                                                           Division
                                                                                                                             Input
                            CONTRACT/           CONTRACT/         OMB Circular                                                                                                                                                                                        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          A-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

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


    GM - IR -                                 Administration of
                           F&MWRC Internal
 Commercial Audit                              NAFIs (ARMP)                                                                                                 Annual         X   X      X      X       X                                                                   AR 11-2 Army Program Management control
                              Functions
     Firms                                     (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 39                                                                                        C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                     2/25/2011 at 4:08 PM
                                                                                                                              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 39                                                                                          C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                            2/25/2011 at 4:08 PM
                                                                                                                               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          Commercial                                                                              Triennial            X                    X                                                                   AR 215-1
                              Functions
                                              Reporting - 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 39                                                                                           C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                    2/25/2011 at 4:08 PM
                                                                                                                              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
   - Office Chiefs                                                                                                                                           Annual        X      X     X      X       X                                                                          See AUM's Previous Submission
                             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
 Finance Officer,                                                       Cash
                                             Cash Management,
    Applicable                Financial                             Management
                                                Banking and                                                                                                  Annual        X      X     X      X       X                                                                          See AUM's Previous Submission
 Directors, Office           Management                               Key Mgt.
                                                 Investment
Chiefs, and General                                                 Ctrls. ChkLst
     Managers




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




                 5 of 39                                                                                          C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                       2/25/2011 at 4:08 PM
                                                                                                                              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
                           F&MWRC Internal                          MS Staff Point
 IMWR - MS Director                          Time & Attendance                                                                                               Annual        X     X      X      X       X                                                                215-3-5 Certification of Time and Attendance Reports -
                              Functions                              of Contact
                                                                                                                                                                                                                                                                                                 1 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




                 6 of 39                                                                                          C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                      2/25/2011 at 4:08 PM
                                                                                                                               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 B         of Contact




                              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




                 7 of 39                                                                                           C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                   2/25/2011 at 4:08 PM
                                                                                                                              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     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

                                                                                                                                 X
                                                                                                                             (Evaluat                                                                           CUSTOMIZED CHECKLIST (SEE ATTACHED TAB D -
                                                                                                                                 e                                                                               SHEET 4 OR ALTERNATIVE METHODS) AT SOME
                                                                                                                                                X
                                                                                                                             IMCOM                                                                             INSTALLATIONS, INDIVIDUALS ACTIVITIES, SUCH AS
                                                                                                                                                 (Applies to
                                                                                                                               -wide                                                                                DOL, DINING FACILITY OR DPW, MAKE
                                                                                                                                                  IMCOM
                                                                                                                             controls                                                                              PURCHASES FROM A PRIME VENDOR. AN
                                             PRIME VENDOR                                                                                         activities
                             FINANCIAL                              DFAS-IN 37-1                                                 ;                                                                                 EVALUATOR AT THE GARRISON NEEDS TO
                                             AUTHORIZATION                              Jan-00         RM          DFAS                    O     that order      Biennial      X            X            X
                            MANAGEMENT                              (CHAPTER 9)                                               review                                                                           CONDUCT AN OVERALL GARRISON EVALUATION TO
                                                PROCESS                                                                                            directly
                                                                                                                             samplin                                                                              DETERMINE WHICH ACTIVITIES DO THIS, AND
                                                                                                                                                   from a
                                                                                                                                g of                                                                           WHEATEAR THEY ARE DOING THIS, AND WHETHER
                                                                                                                                                    prime
                                                                                                                             garrison                                                                           THEY ARE DOING IT PROPERLY, AND WHETHER A
                                                                                                                                                   vendor)
                                                                                                                                                                                                                   GARRISON POLICY OR SOP IS NEEDED TO
                                                                                                                             evaluati                                                                                    STANDARDIZE THE PROCESS.
                                                                                                                              ons)
                                            DISTRIBUTION AND
                                              EXECUTION OF                                                                   X Done
                                              APPROPRIATED          DFAS-IN 37-1;                                               by
                             FINANCIAL        FUNDS (NOTE:            DOD FMR                                                 MSO                                                                                                                                           https://dfas4dod.dfas.mil/centers/dfasin/library/regs.ht
                                                                                        Jan-00         RM          DFAS                    X         X           Annual        X      X     X      X     X             DFAS MANUAL CHECKLIST (APP. W)
                            MANAGEMENT         REGIONS AND           DFAS-IN 37-                                              with                                                                                                                                                                     m
                                             GARRISONS ONLY             100                                                  Division
                                            DO THE EXECUTION                                                                   Input
                                                 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
FMWRC                                                                                                                        X Done
                                                                                                                                by
- Directors
                             FINANCIAL        GOVT TRAVEL           OMB Circular                                              MSO                                                                                 EVALUATE COMPLIANCE WITH APP B, OMB                       http://www.whitehouse.gov/omb/circulars/a123/a123_re
   - Office Chiefs                                                                     Aug-05          RM          SAFM                    X         X           Annual        X      X     X      X     X
                            MANAGEMENT           CARDS                a_123                                                   with                                                                               CIRCULAR A-123 & THE ARMY SOP CHECKLIST.                                           v.pdf
     - General
                                                                                                                             Division
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            AND AR 5-9       98                                                                                                                                         CHECKLIST)                                                   80995/i400019p.pdf
                                              AREA 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
                                                                      AR 550-51         Apr-98   RESPONSIBL        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
                             FINANCIAL       DEFENSE TRAVEL              Mgt                                            MSO                                                                                                                                                       http://www.asafm.army.mil/fo/fod/dts/dts-
                                                                                        Apr-06   OASIS MOST OASIS MOST                     X         X           Annual        X      X     X      X     X                CHECKLIST INCLUDED IN LINK
                            MANAGEMENT           SYSTEM             Regulation, Vol                                     with                                                                                                                                                                 wp/dr/checklist.pdf
                                                                       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                 Mgt                                     OACSIM                                                                                                                                                           http://www.asafm.army.mil/fo/fod/dts/dts-
                                                                                    Apr-08            USAEC                     X          O         O           Annual        X      X     X      X     X                           CHECKLIST
                            MANAGEMENT        MANAGEMENT            Regulation, Vol                               MSO                                                                                                                                                                        wp/dr/checklist.pdf
                                                                       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




                 8 of 39                                                                                          C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                           2/25/2011 at 4:08 PM
                                                                                                                                   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.

                                                Defense Business
                                                                          Responsible
                           F&MWRC Internal    System Modernization                                                                                                                                                                                                                GUIDANCE for Defense Business System
 IMWR - IM Director                                                       IM Division                                                                                           X     X      X      X       X
                              Functions       Certification Approval                                                                                                                                                                                                                    Modernization: Business
                                                                             Chief
                                                      Process
                                                 Management of
                                                                          Responsible
                           F&MWRC Internal    information resources                                                                                                                                                                                                              AR 25-1: Army Knowledge Management and
 IMWR - IM Director                                                       IM Division                                                                                           X     X      X      X       X
                              Functions          and information                                                                                                                                                                                                                           Information Technology
                                                                             Chief
                                                    technology
                                                Army Knowledge            Responsible
                           F&MWRC Internal
 IMWR - IM Director                             Management and            IM Division                                                                                           X     X      X      X       X
                              Functions
                                             Information Technology          Chief
                                                                          Responsible
                           F&MWRC Internal    Telecommunications -
 IMWR - IM Director                                                       IM Division                                                                                           X     X      X      X       X                                                                                      AR 25-1
                              Functions            Telephone
                                                                             Chief
                                                                          Responsible
                           F&MWRC Internal
 IMWR - IM Director                           Information Assurance       IM Division                                                                                           X     X      X      X       X                                                                        AR 25-2: Army Information Assurance
                              Functions
                                                                             Chief
                                                                          Responsible
                           F&MWRC Internal    Financial Management
 IMWR - IM Director                                                       IM Division                                                                                           X     X      X      X       X                                                                          See AUM's Previous Submission
                              Functions              Systems
                                                                             Chief
                                                                          Responsible
 IMWR - IM Director        Mandatory Training Information Awareness       IM Division                                                                                           X     X      X      X       X                                                                          See AUM's Previous Submission
                                                                             Chief
                                                  Official Mail &         Responsible
                           F&MWRC Internal
 IMWR - IM Director                                Distribution           IM Division                                                                                                 X                                                                                                           AR 25-51
                              Functions
                                                  Management                 Chief




                                               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)




                 9 of 39                                                                                               C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                      2/25/2011 at 4:08 PM
                                                                                                                                   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.




                                              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)




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




                                                                                                                                  X Done
  FMWRC Human                                                                                                                        by
 Resorses Director,          INFORMATION        DA FREEDOM OF                                                        OAA to SEC    MSO                                                                                                                                         AR 25-55 - The Department of the Army Freedom of
                                                                           AR 25-55        Nov-97          HR                                   O         X       Quinquennial                              X                    AR CHECKLIST (APP H)
 Office Chiefs, and          MANAGEMENT       INFO ACT PROGRAM                                                         ARMY        With                                                                                                                                          Information Act Program, Appendix H, Page 38
 General Managers                                                                                                                 Division
                                                                                                                                    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)




                 10 of 39                                                                                              C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                        2/25/2011 at 4:08 PM
                                                                                                                                  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       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




                                                                           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




                 11 of 39                                                                                             C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                     2/25/2011 at 4:08 PM
                                                                                                                            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                            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




                                                                     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




                 12 of 39                                                                                       C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                     2/25/2011 at 4:08 PM
                                                                                                                                  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 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




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



                 13 of 39                                                                                             C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                      2/25/2011 at 4:08 PM
                                                                                                                                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.

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



                               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
   and General                                                                                                                                                                                                                                                                              AR525-13.doc
                                                 PROTECTION                                                                                                                                                     EMERGENCY SERVICES BRANCH ATTN: ATO)
    Managers
                                                                                                                                O for
                                                                                                                               Regions
                                                                                                                                 ;X
  FMWRC Support                                                       AR 710-2, AR
                                                RETAIL SUPPLY                          Jul 05;Nov                               Done
  Services Director                                                    725-50, AR                                                                                                                             AR CHECKLIST (APP. B) IN CONJUNCTION WITH
                                SUPPLY          OPERATIONS -                             95;Feb        LOG         G-4/DALO      by         O        X         Annual         X     X     X      X       X                                                                   http://www.usapa.army.mil/pdffiles/r710_2.pdf
    and General                                                        735-5, DA                                                                                                                                              CSDP/CLIP
                                               PROPERTY BOOK                            05;Dec 97                               MSO
      Managers                                                        PAM 710-2-1
                                                                                                                               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                                                                                                                                                                                                                                                                  Training site for the Notification and Federal
                                              Anti-Discrimination -
   - Office Chiefs             TRAINING                                                                                                                        Annual         X     X     X      X       X                                                                Employee Antidiscrimination and Retaliation Ace (No
                                              Retaliation Training
     - General                                                                                                                                                                                                                                                                                  FEAR Act).
Managers




                 14 of 39                                                                                           C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                     2/25/2011 at 4:08 PM
                                                                                                                             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
- Directors                                 Prevention of Sexual
   - Office Chiefs            TRAINING      Harassment (POSH)                                                                                               Annual        X     X      X      X       X
     - General                                    Training
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




                 15 of 39                                                                                        C:\Docstoc\Working\pdf\44235a0d-fcd3-44ac-934c-bd3f4652252b.xlsHQ IMA MCP FY 07-11                                                                                      2/25/2011 at 4:08 PM
                                                 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 18                                                                      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 19                                                                   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 20                    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 21                    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 22                    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 23                    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 24                   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 25                    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 26                      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 27                     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 28                      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 29                        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
*
*
*
*
                                                     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 38                        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 39                        TAB D, DBSMC CHECKLIST

				
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