Get documents about "Guide Property Management
Description
Guide Property Management document sample
Document Sample
FMWRC FY2009 MCPlan integrated with IMCOM FY2008 MCPlan
FMWRC FY09 Five Year Management Control Program (MCP) Plan
embedded into the
IMCOM FY08 Five Year MCP Plan http://www.apd.army.mil/pub/eforms/pdf/a11_2r.pdf
FMWRC Hqs. FREQUENCY
Assessable DA DESIGNATED REQUIRED HQ IMCOM DA HQ (BASED ON FY
LINK
REGULATION REG DATE REGION GARRISON FY 08 FY 10 FY 11 FY 12 EVALUATION GUIDE
Unit Manager FUNCTION EVALUATION PROPONENT PROPONENT IMCOM POTENTIAL 09
RISK)
(AUM)
(O = Oversight; X = Primary Evaluator/completes DA Form 11-2-R)
(Use only the questions that apply to IMCOM and to the
NOTE:--------------> is
DA Form 1102 R-Jul 94 a WORD document and is completed by the SME and submitted to the applicable MCA.
particular organizational level conducting the evaluation)
NOTE:--------------> This link provides a PDF vewrsion of the DA Form 11-2-R. (Note: Jan 94 version is obsolete)
NOTE:--------------> Army Web sites and most commonly sought products.
OPM, FEDERAL
EMPLOYEES AND
THE FAIR LABOR
STANDARDS ACT
FMWRC - AND ARMY Army Reg
Time and Addendance CHIEF OF CUSTOMIZED CHECKLIST - DEVELOPED BY
Directors ADMINISTRAVTIVE 215_3,
ADMINISTRATION Management - AR 690- & CIVILIAN
STAFF, HRD & ACS X X X Annual X X X X X WESTPOINT - PROVIDED IN ATTACHED FILE NAMED
- Office Chiefs Chapter 17 &
990-2 PERSONNEL MSO "TIME AND ATTENDANCE"
- General Managers Appendix D
POLICIES; AR 690-
990-2; AR 1-3
(NCR) DOD FMR,
VOLUME 8
OPM,
FEDERAL
EMPLOYEES
AND THE FAIR
LABOR
STANDARDS
ALTERNATE METHODS ATAAPS HAS NO CHECKLIST
ACT AND
ADMINISTRATION ADMINISTRATION VARIED USAEC ACS X O O Annual X X X X X AS A SYSTEM ITSELF HAS CHECKS AND BALANCES
ARMY
ADMINISTRATI INCORPORATE.
VE & CIVILIAN
PERSONNEL
POLICIES; AR
690-990-2; AR
1-3 (NCR) DOD
FMR, VOLUME AR CHECKLIST (PARA 2-12 & APP I) MAY DO IN
CONJUNCTION WITH REGION'S FORMAL
ACCREDITATION VISIT TO EACH INSTALLATION
ARMY COMMUNITY
EVERY 3 YEARS. MCP EVALUATIONS DO NOT TAKE
BASE SUPPORT SERVICE CENTER AR 608-1 Sep-08 MWR DAIM O O X Triennial X X http://www.apd.army.mil/pdffiles/r608_1.pdf
THE PLACE OF REQUIRED ANNUAL ACCREDITATION
(ACS)
REVIEW AT INSTALLATION LEVEL, BUT DATA FROM
SUCH REVIEWS MAY BE USED TO BACK-UP MCP
EVALUATIONS.
CFSC MEMO, 19 NOV 01 CERTIFICATION
CHILD AND YOUTH REQUIREMENTS CONTINUE AS REQUIRED, MCP http://www.armymwr.com/corporate/docs/ir/cys_key_m
BASE SUPPORT AR 608-10 Jul-97 MWR DAIM O X X Quinquennial X
SERVICES EVALUATION TO BE ACCOMPLISHED EVERY FIVE anagement_controls.pdf
YEARS.
AR CHECKLIST (APP L) MAY DO IN CONJUNCTION
WITH REGION'S FORMAL ACCREDITATION VISIT TO
EACH INSTALLATION EVERY 3 YEARS. MCP
ARMY FAMILY EVALUATIONS DO NOT TAKE THE PLACE OF
BASE SUPPORT ADVOCACY AR 608-18 Oct-07 MWR DAIM O X X Triennial X X REQUIRED ANNUAL ACCREDITATION REVIEWS AT http://www.apd.army.mil/pdffiles/r608_18.pdf
PROGRAM INSTALLATIONS LEVEL, BUT DATA FROM SUCH
REVIEWS AT INSTALLATION LEVEL, BUT DATA FROM
SUCH REVIEWS MAY BE USED TO BACK-UP MCP
EVALUATIONS.
ARMY FAMILY TEAM
BASE SUPPORT BUILDING (AFTB) AR 608-48 Mar-05 MWR DAIM O O X Triennial X X APPENDIX B http://www.apd.army.mil/pdffiles/r608_48.pdf
PROGRAM
AR CHECKLIST (APP. B) May do in conjunction with
region's formal accreditation visit to each installation
ARMY FAMILY every 3 years. MCP evaluations do not take the place of
BASE SUPPORT AR 608-47 Dec-04 MWR DAIM O O X Triennial X X http://www.apd.army.mil/pdffiles/r608_47.pdf
ACTION PLAN required annual accreditation reviews at installation level,
but data from such reviews may be used to back-up MCP
evaluations.
1 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 NON- MEMO #44 MWR BUSINESS PROGRAMS
BASE SUPPORT AR 215-1 Jul-07 MWR DAIM O O X Annual X X X X X http://www.army.mil/usapa/epubs/pdf/r215_1.pdf
APPROPRIATED CORPORATE STRATEGY FOR PERFORMANCE
FUND IMPROVEMENT WHICH INCLUDES AN APPENDIX A -
INSTRUMENTALITIES IMCOM BUSINESS PROGRAMS SCORECARD AND
AN APPENDIX B - INTERNAL CONTROLS CHECKLIST
MORALE WELFARE &
NAF Contracting, RECREATION
applicable FMWRC ACTIVITIES AND NON- AR 215-4:
APPROPRIATED Nonappropriat AFARS Appendix BB Management Control Evaluation
Directors, Office BASE SUPPORT Annual X X X X X http://usassi-www.army.mil/references.html
FUND ed Fund Checklist - Contract Manageemnt within FMWRC
Chiefs, and General
Managers INSTRUMENTALITIES Contracting
Procurement
Management
X Done
NAF Contracting - by MSO EVALUATE COMPLIANCE WITH APP B, OMB
CONTRACT/ OMB Circular
Billing Officials - PURCHASE CARDS Aug-05 RM ACA with X X Annual X X X X X CIRCULAR A-123 & ANY ACA OR IMCOM POLICIES NAF MCPlan Billing Official - Cardholder Review
PROCUREMENT a_123
Cardholders Division AND INSTRUCTIONS.
Input
CONTRACT/ CONTRACT/ OMB Circular A- http://www.whitehouse.gov/omb/circulars/a123/a123_a
Mar-08 USAEC ACA X O O Annual X X X X X CHECKLIST
PROCUREMENT PROCUREMENT 123 ppendix_b.pdf
ENVIRORMENTAL ENVIRONMENTAL
PERFORMANCE PERFORMANCE
ASSESSMENT ASSESSMENT N/A N/A USAEC N/A X O O Annual X X x x x USAEC DEVELOPED CHECKLIST
SYSTEM (EPAS) SYSTEM (EPAS)
PROGRAM PROGRAM
FMWRC Plans and
FIRE AND
Operations Director FACILITIES Continuity of AR 500-3 US Army Continuity of Operations Program
EMERGENCY Annual X X X X X
and General SUPPORT Operations Policy and Plan
SERVICES
Managers
INTERNAL CONTROL AR CHECKLIST (APP. C) & AVAILABLE HQDA
FINANCIAL (FORMERLY CALLED CRITERIA/AAA INFO; IN CONJUNCTION WITH
AR 11-2 Aug-94 RM SAFM X X X Triennial X X http://www.apd.army.mil/pdffiles/r11_2.pdf
MANAGEMENT MANAGEMENT ANNUAL ASSURANCE STATEMENT DEVELOPMENT
CONTROL) OR AUDIT FINDINGS
Administration of
GM - IR - Commercial F&MWRC Internal
NAFIs (ARMP) Annual X X X X X AR 11-2 Army Program Management control
Audit Firms Functions
(AFRCs) Part A
Administration of
GM - IR - Commercial F&MWRC Internal
NAFIs (ARMP) Annual X X X X X AR 11-2 Army Program Management control
Audit Firms Functions
(AFRCs) Part B
Anti-Terrorism -
F&MWRC Internal
GM - AFRC (SoG) AFRCs (Shades of Annual X X X X X ARMY AKO Login
Functions
Green Only)
GM - IR -
F&MWRC Internal Annual ARMP and AR 215-1: Military MWR Programs and
IMWR-HP - Director Commercial Annual X X X X X
Functions AFRC Audits Nonappropriated Fund Instrumentalities
Audit Firms
Cash, Inventory &
GM - IR -
F&MWRC Internal Retail Sales
IMWR-HP - Director Commercial Annual X X X X X Sales Accountability and Operations AR 215-1
Functions accountability -
Audit Firms
AFRCs
2 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 Reporting - Commercial Triennial X X AR 215-1
Functions
AFRCs Audit Firms
GM - IR -
F&MWRC Internal Health Club
GMs - AFRCs Commercial Triennial X AR 215-1
Functions Operations - AFRCs
Audit Firms
GM - IR -
F&MWRC Internal
GMs - AFRCs Inventories - AFRCs Commercial Triennial X AR 215-1
Functions
Audit Firms
GM - IR -
F&MWRC Internal Leisure Activities -
GMs - AFRCs Commercial Triennial X X AR 215-1
Functions AFRCs
Audit Firms
GM - IR -
F&MWRC Internal NAFI Legal Status -
GMs - AFRCs Commercial Triennial X AR 215-1
Functions AFRCs
Audit Firms
Property Operations GM - IR -
F&MWRC Internal
GMs - AFRCs & Maintenance - Commercial Triennial X X AR 215-1
Functions
AFRCs Audit Firms
GM - IR -
F&MWRC Internal Risk Management
GMs - AFRCs Commercial Triennial X X AR 215-1
Functions Program - AFRCs
Audit Firms
GM - IR -
F&MWRC Internal
GMs - AFRCs Budgeting - AFRCs Commercial Quinquennial X AR 215-1
Functions
Audit Firms
GM - IR -
F&MWRC Internal MWR Personnel -
GMs - AFRCs Commercial Quinquennial X AR 215-1
Functions AFRCs
Audit Firms
GM - IR -
General Managers - F&MWRC Internal Parking Garage
Commercial Quinquennial AR 215-1
AFRCs Functions Operations - AFRCs
Audit Firms
4 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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
Annual X X X X X See AUM's Previous Submission
- Office Chiefs Management MWR Funds
- General Managers
ARMP Key
FMWRC ARMP Financial Army Recreation Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Mgt. Ctrols Annual X X X X X
General Manager Management Machine Program Investigations, and Management Controls
ChkLst
FMWRC Chief
Cash
Finance Officer, Cash Management,
Financial Management
Applicable Directors, Banking and Annual X X X X X See AUM's Previous Submission
Management Key Mgt. Ctrls.
Office Chiefs, and Investment
ChkLst
General Managers
FMWRC Chief
Finance Officer, Centralized Property
Financial Alternative
Applicable Directors, and Casualty Annual X X X X X See AUM's Previous Submission
Management Method
Office Chiefs, and Insurance Program
General Managers
FMWRC Chief
Finance Officer,
Financial Alternative
Applicable Directors, Financial Policy Annual X X X X X See AUM's Previous Submission
Management Method
Office Chiefs, and
General Managers
FMWRC Chief
Finance Officer,
Financial Finance, Accounting Alternative
Applicable Directors, Annual X X X X X See AUM's Previous Submission
Management and Reporting Method
Office Chiefs, and
General Managers
5 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 215-
F&MWRC Internal MS Staff Point
IMWR - MS Director Time & Attendance Annual X X X X X 3-5 Certification of Time and Attendance Reports - 1
Functions of Contact
Sep 03
F&MWRC Internal Travel Orders & MS Staff Point
IMWR - MS Director Annual X X X X X JFTR-DoD FMR
Functions Vouchers (DTS) of Contact
Financial APF Purchase Card MS Staff Point Army GPC Program SOP and Appendix E Review
IMWR - MS Director Annual X X X X X
Management Review : Part A of Contact Guidelines and Checklist
Financial APF Purchase Card MS Staff Point
IMWR - MS Director Annual X X X X X
Management Review: Part B of Contact
6 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 C of Contact
MS Agency
Financial Army Travel Card Program
IMWR - MS Director Annual X X X X X Redesigned DoD 7000.14R _Oct 06
Management Program Coordinator
(APC)
Financial Budget Office MS Staff Point DFAS 37-IN: Finance & Accounting Policy
IMWR - MS Director Annual X X X X X
Management Functions of Contact Implementation
Financial Civilian Payroll MS Staff Point
IMWR - MS Director Annual X X X X X See AUM's Previous Submission
Management Procedures of Contact
Financial Confidential Statement MS Staff Point
IMWR - MS Director Annual X X X X X See AUM's Previous Submission
Management of Financial Interest of Contact
Financial Fire & Emergency MS Staff Point
IMWR - MS Director Annual X X X X X AR 420-90
Management Services of Contact
Financial Physical Security MS Staff Point
IMWR - MS Director Annual X X X X X AR 190-13_The Army Physical Security Program
Management Inspection Program of Contact
Financial Property Accountability MS Staff Point AR 735-5: Policies and Procedures for Property
IMWR - MS Director Annual X X X X X
Management & Control of Contact Accountability
Financial Safety, Occupational MS Staff Point
IMWR - MS Director Annual X X X X X AR 385-10: The Army Safety Program
Management and Physical Security of Contact
Financial Safety, Occupational MS Staff Point AR 385-16: Safety System Engineering and
IMWR - MS Director Annual X X X X X
Management and Physical Security of Contact Management
7 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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.
X
CUSTOMIZED CHECKLIST (SEE ATTACHED TAB D -
(Evaluat
SHEET 4 OR ALTERNATIVE METHODS) AT SOME
e X
INSTALLATIONS, INDIVIDUALS ACTIVITIES, SUCH AS
IMCOM- (Applies to
DOL, DINING FACILITY OR DPW, MAKE PURCHASES
wide IMCOM
PRIME VENDOR FROM A PRIME VENDOR. AN EVALUATOR AT THE
FINANCIAL DFAS-IN 37-1 controls activities
AUTHORIZATION Jan-00 RM DFAS O Biennial X X X GARRISON NEEDS TO CONDUCT AN OVERALL
MANAGEMENT (CHAPTER 9) ; review that order
PROCESS GARRISON EVALUATION TO DETERMINE WHICH
samplin directly from
ACTIVITIES DO THIS, AND WHEATEAR THEY ARE
g of a prime
DOING THIS, AND WHETHER THEY ARE DOING IT
garrison vendor)
PROPERLY, AND WHETHER A GARRISON POLICY OR
evaluati
SOP IS NEEDED TO STANDARDIZE THE PROCESS.
ons)
DISTRIBUTION AND
EXECUTION OF
X Done
APPROPRIATED DFAS-IN 37-1;
by MSO
FINANCIAL FUNDS (NOTE: DOD FMR https://dfas4dod.dfas.mil/centers/dfasin/library/regs.ht
Jan-00 RM DFAS with X X Annual X X X X X DFAS MANUAL CHECKLIST (APP. W)
MANAGEMENT REGIONS AND DFAS-IN 37- m
Division
GARRISONS ONLY 100
Input
DO THE EXECUTION
PORTION)
REPRESENTATION
FINANCIAL http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r37_4
FUNDS OF THE SEC AR 37-47 Mar-04 RM SAFM X X X Quinquennial X AR CHECKLIST (APP. B)
MANAGEMENT 7/head.asp
OF THE ARMY
X Done
FMWRC -
by MSO
Directors FINANCIAL GOVT TRAVEL OMB Circular EVALUATE COMPLIANCE WITH APP B, OMB http://www.whitehouse.gov/omb/circulars/a123/a123_re
Aug-05 RM SAFM with X X Annual X X X X X
- Office Chiefs MANAGEMENT CARDS a_123 CIRCULAR A-123 & THE ARMY SOP CHECKLIST. v.pdf
Division
- General Managers
Input
BASE SUPPORT
REIMBURSEMENT-
FINANCIAL ISA/MOU/MOA DODI 4000.19 Aug 95 & Oct AR 5-9 & CUSTOMIZED CHECKLIST (SEE TAB ISSA http://www.dtic.mil/whs/directives/corres/pdf/i400019_0
RM DAIM O O X Annual X X X X X
MANAGEMENT PROCESS AND AREA AND AR 5-9 98 CHECKLIST) 80995/i400019p.pdf
SUPPORT
RESPONSIBILITIES
FINANCIAL FINANCIAL http://www.wsmr.army.mil/workforce/InternalReview/do
AR 11-2 Oct-94 USAEC SAFM X O O Annual X X X X AR CHECKLIST
MANAGEMENT MANAGEMENT cs/r11_2.pdf
RM
(APPLIES
ONLY TO
ACTIVITIES
ALTERNATIVE METHOD (MANAGER'S CHOICE) IN
FINANCIAL INTERNATIONAL RESPONSIBL
AR 550-51 Apr-98 DAIM X X Triennial X CONJUNCTION WITH INSTALLATION STATUS http://www.apd.army.mil/pdffiles/r550_51.pdf
MANAGEMENT AGREEMENTS E FOR
REPORT
AGREEMENT
S WITH
FOREIGN
ENTITIES.)
X Done
DOD Financial by MSO
FINANCIAL DEFENSE TRAVEL http://www.asafm.army.mil/fo/fod/dts/dts-
Mgt Regulation, Apr-06 OASIS MOST OASIS MOST with X X Annual X X X X X CHECKLIST INCLUDED IN LINK
MANAGEMENT SYSTEM wp/dr/checklist.pdf
Vol 9, Ch 2 Division
Input
FINANCIAL FINANCIAL https://dfas4dod.dfas.mil/centers/dfasin/library/regs.ht
DFAS 37-1 Jan-00 USAEC DFAS X O O Annual X X X X X CHECKLIST
MANAGEMENT MANAGEMENT m
DOD Financial
FINANCIAL FINANCIAL OACSIM http://www.asafm.army.mil/fo/fod/dts/dts-
Mgt Regulation, Apr-08 USAEC X O O Annual X X X X X CHECKLIST
MANAGEMENT MANAGEMENT MSO wp/dr/checklist.pdf
Vol 9, Ch 2
FINANCIAL FINANCIAL DODI 4000.19 Aug 95 & Oct
USAEC DAIM X O O Annual X X X X X USAEC DEVELOPED CHECKLIST
MANAGEMENT MANAGEMENT & AR 5-9 98
Defense Business
F&MWRC Internal System Modernization Responsible IM GUIDANCE for Defense Business System
IMWR - IM Director X X X X X
Functions Certification Approval Division Chief Modernization: Business
Process
Management of
F&MWRC Internal information resources Responsible IM AR 25-1: Army Knowledge Management and
IMWR - IM Director X X X X X
Functions and information Division Chief Information Technology
technology
Army Knowledge
F&MWRC Internal Responsible IM
IMWR - IM Director Management and X X X X X
Functions Division Chief
Information Technology
8 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 Telecommunications - Responsible IM
IMWR - IM Director X X X X X AR 25-1
Functions Telephone Division Chief
F&MWRC Internal Responsible IM
IMWR - IM Director Information Assurance X X X X X AR 25-2: Army Information Assurance
Functions Division Chief
F&MWRC Internal Financial Management Responsible IM
IMWR - IM Director X X X X X See AUM's Previous Submission
Functions Systems Division Chief
Responsible IM
IMWR - IM Director Mandatory Training Information Awareness X X X X X See AUM's Previous Submission
Division Chief
Official Mail &
F&MWRC Internal Responsible IM
IMWR - IM Director Distribution X AR 25-51
Functions Division Chief
Management
ARMY ENTERPRISE
ARCHITECTURE
(includes IMCOM Web
Standardization) (At
garrison level, this
http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/
INFORMATION evaluation does not
AR 25-1 Jul-05 PLANS G-6/SAIS X X (DOIM) Biennial X X AR CHECKLIST (APP C Para C-4 c) cover.asp
MANAGEMENT apply to OCONUS
IMCOM activities
where Signal Bdes
separately evaluate
DOIM related
functions)
INFORMATION
ASSURANCE (May be
combined with Army
Info Assurance
Program eval below)
(At garrison level, this
INFORMATION O http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/
evaluation does not AR 25-1 Jul-05 PLANS G-6/SAIS O X (DOIM) Biennial X X X AR CHECKLIST (APP C Para C-4 d)
MANAGEMENT (RCIO) cover.asp
apply to OCONUS
IMCOM activities
where Signal Bdes
separately evaluate
DOIM related
functions)
ARMY INFORMATION
ASSURANCE
PROGRAM (May be
combined with Info
Assurance eval above)
(At garrison level, this
INFORMATION O
evaluation does not AR 25-2 Oct-07 PLANS G-6/SAIS O X (DOIM) Biennial X X X AR CHECKLIST (APP C) http://www.apd.army.mil/pdffiles/r25_2.pdf
MANAGEMENT (RCIO)
apply to OCONUS
IMCOM activities
where Signal Bdes
separately evaluate
DOIM related
functions)
9 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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.
ALTERNATIVE METHOD (MANAGER'S CHOICE) (THE
5-YEAR MCP EVALUATION DOES NOT TAKE THE
FMWRC Support PLACE OF THE REQUIRED 3-YEAR
OFFICIAL MAIL &
Services Director INFORMATION OAA to SEC MACOM/INTERMEDIATE COMMAND "SURVEY" OF
DISTRIBUTION AR 25-51 Nov-92 HR O O X Quinquennial X http://www.apd.army.mil/pdffiles/r25_51.pdf
and General MANAGEMENT ARMY OFFICIAL MAIL PROGRAMS, BUT THE DATE FROM
MANAGEMENT
Managers THESE SURVEYS MAY BE USED AS
DOCUMENTATION TO BACK-UP THE MCP
EVALUATION.)
X Done
FMWRC Support
by MSO AR CHECKLIST (APP C Para C-4 g) (REGIONS
Services Director INFORMATION RECORDS OAA to SEC http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_1/
AR 25-400-2 Oct-07 HR With X X Triennial X EVALUATE THE GARRISONS TO DETERMINE IF THEY
and General MANAGEMENT MANAGEMENT ARMY cover.asp
Division ARE COMPLYING WITH REGULATORY GUIDANCE).
Managers
Input
X Done
FMWRC Human
by MSO
Resorses Director, INFORMATION DA FREEDOM OF OAA to SEC AR 25-55 - The Department of the Army Freedom of
AR 25-55 Nov-97 HR With O X Quinquennial X AR CHECKLIST (APP H)
Office Chiefs, and MANAGEMENT INFO ACT PROGRAM ARMY Information Act Program, Appendix H, Page 38
Division
General Managers
Input
INFORMATION INFORMATION http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r25_5
AR 25-55 Nov-97 HR CIO/G-6 X O O Biennial X X CHECKLIST
MANAGEMENT MANAGEMENT 5/head.asp
INTERNAL
REVIEW AND
FMWRC Internal INTERNAL
REVIEWS AR 11-7 Oct-07 AUDIT DA -IR O O X Quinquennial X AR CHECKLIST (APP B) http://www.army.mil/usapa/epubs/pdf/r11_7.pdf
Audit Office Chief REVIEW
COMPLIANCE
PROGRAM
Established a 5-year
F&MWRC Internal IR MCP Point
IMWR - IR Chief Management Control Annual X X X X X AR 11-2 Army Program Management control
Functions of Contact
Plan (MCP)
F&MWRC Internal Internal & External Applicable IR AR 11-7 Internal Review and Audit Compliance
IMWR - IR Chief Quinquennial X
Functions Liaison Reviews Staff Program
Management Control Applicable IR
IMWR - IR Chief Mandatory Training Quinquennial X AR 11-2 Army Program Management control
Evaluation Program Staff
SENIOR SENIOR
MANAGEMENT MANAGEMENT
OBJECTIVES OBJECTIVES
FMWRC Internal http://www.wsmr.army.mil/workforce/InternalReview/do
INCLUDE INCLUDE AR 11-2 Oct-94 USAEC SAFM X O O Annual X X X X X USAEC DEVELOPED CHECKLIST
Audit Office Chief cs/r11_2.pdf
MANAGEMENT MANAGEMENT
CONTROL CONTROL
STATEMENT STATEMENT
10 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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
Armed Forces Commercial
FMWRC Internal Financial Recreation Centers Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Annual X X X X X
Audit Office Chief Management (AFRC) Funds Group 215-1 Investigations, and Management Controls
(AFG) Appendix N
Checklist
Annual
Commercial
FMWRC Internal Financial Army Banking & Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Annual X X X X X
Audit Office Chief Management Investment Fund 215-1 Investigations, and Management Controls
Appendix N
Checklist
Annual
Commercial
FMWRC Internal Financial Army Central Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Annual X X X X X
Audit Office Chief Management Insurance Fund 215-1 Investigations, and Management Controls
Appendix N
Checklist
Annual
Commercial
FMWRC Internal Financial Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Army Lodging Fund Annual X X X X X
Audit Office Chief Management 215-1 Investigations, and Management Controls
Appendix N
Checklist
Annual
Commercial
FMWRC Internal Financial Army Lodging Single Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Annual X X X X X
Audit Office Chief Management Operating Fund 215-1 Investigations, and Management Controls
Appendix N
Checklist
11 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 Medical/Life Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Annual X X X X X
Audit Office Chief Management Fund 215-1 Investigations, and Management Controls
Appendix N
Checklist
Annual
Commercial
FMWRC Internal Financial Army Morale Welfare Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Annual X X X X X
Audit Office Chief Management and Recreation Fund 215-1 Investigations, and Management Controls
Appendix N
Checklist
Annual
Commercial
FMWRC Internal Financial Army NAF Employee Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Annual X X X X X
Audit Office Chief Management 401(k) Savings Plan 215-1 Investigations, and Management Controls
Appendix N
Checklist
Annual
Commercial
FMWRC Internal Financial Army NAF Employee Audit or AR Chapter 18, AR 215-1: Audits, Reviews, Inspections,
Annual X X X X X
Audit Office Chief Management Retirement Plan 215-1 Investigations, and Management Controls
Appendix N
Checklist
FMWRC Judge http://docs.usapa.belvoir.army.mil/jw2/xmldemo/r27_2
LEGAL SERVICES CLAIMS AR 27-20 Jul-03 LEGAL DAJA O O X Quinquennial X AR CHECKLIST (APP B)
Advocate 0/cover.asp
12 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 Judge Applicable JA
Mandatory Training Acquisition Ethics Annual X X X X X
Advocate Staff
FMWRC Judge Applicable JA Joint Ethics Reg DoD 5500.7R: Standards of Ethical
Mandatory Training Ethics Annual X X X X X
Advocate Staff Conduct and Ethics Guidance
FMWRC Judge F&MWRC Internal Applicable JA
Claims Quinquennial X AR 27-20 Legal Services CLAIMS
Advocate Functions Staff
FMWRC Plans and
Operations Director MANAGEMENT ARMY SAFETY
AR 385-10 Aug-07 SAFETY DACS O O X Biennial X X X PAM CHECKLIST http://www.apd.army.mil/pdffiles/r385_10.pdf
and General AND COMMAND PROGRAM
Managers
MANPOWER
PERSONNEL MANAGEMENT AR 570-4 Feb-06 RM G-1/DAPE X X X Biennial X X X AR CHECKLIST (APP B) http://www.usapa.army.mil/pdffiles/r570_4.pdf
FUNCTIONS
F&MWRC Internal Employee MS Staff Point
IMWR - MS Director Triennial X X
Functions Development Plan of Contact
F&MWRC Internal Leadership and MS Staff Point
IMWR - MS Director Triennial X
Functions Program Management of Contact
Performance Standards
F&MWRC Internal MS Staff Point
IMWR - MS Director & Evaluation Triennial X X
Functions of Contact
Documents
Financial APF Funds Distribution MS Staff Point
IMWR - MS Director Triennial X X DFAS-37-1
Management & Execution of Contact
Financial Personnel MS Staff Point
IMWR - MS Director Triennial X X AR 215-3
Management Management of Contact
F&MWRC Internal Serious Incident MS Staff Point
IMWR - MS Director Quinquennial X AR 190-40
Functions Reporting of Contact
F&MWRC Internal NAF Employee
IMWR-HR Director Annual X X X X X
Functions Benefits Office
F&MWRC Internal F&MWRC HR
IMWR-HR Director Annual X X X X X
Functions Employee Database
EDUCATION
INCENTIVES AND
MWR Academy ENTITLEMENTS - AR 621-202 http://www.asafm.army.mil/fo/fod/mc/amcec/app_d-
PERSONNEL Jan-95 HR G-1/DAPE O O X Quinquennial X AR CHECKLIST (APP D)
Director ARMY CONTINUING CHANGE 1 e.pdf
EDUCATION SYSTEM
(ACES)
FMWRC Plans and
ANTI- AR CHECKLIST (APP C) PROVIDE COPIES OF
Operations Director http://www.asafm.army.mil/fo/fod/mc/amcec/DAMO-
SECURITY TERRORISM/FORCE AR 525-13 Jan-02 OPS OPMG O O X Annual X X X X X EVALUATIONS TO IMAH-OPD-E (IMCOM EMERGENCY
and General AR525-13.doc
PROTECTION SERVICES BRANCH ATTN: ATO)
Managers
13 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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.
O for
Regions
FMWRC Support AR 710-2, AR ;X
RETAIL SUPPLY Jul 05;Nov
Services Director 725-50, AR 735- Done by AR CHECKLIST (APP. B) IN CONJUNCTION WITH
SUPPLY OPERATIONS - 95;Feb LOG G-4/DALO O X Annual X X X X X http://www.usapa.army.mil/pdffiles/r710_2.pdf
and General 5, DA PAM 710- MSO CSDP/CLIP
PROPERTY BOOK 05;Dec 97
Managers 2-1 for HQ
Propert
y
FMWRC Support POLICIES AND
Services Director PROCEDURES FOR AR 735-5 PARA. 1-6 AND AR 710-2 TABLE B-1 http://www.army.mil/usapa/epubs/pdf/r735_5_d200502
SUPPLY AR 735-5 Feb-05 LOG G-4/DALO O O X Annual X X X X X
and General PROPERTY THROUGH B-6 28.pdf
Managers ACCOUNTABILITY
FMWRC -
Directors Anti-Discrimination - Training site for the Notification and Federal Employee
TRAINING Annual X X X X X
- Office Chiefs Retaliation Training Antidiscrimination and Retaliation Ace (No FEAR Act).
- General Managers
FMWRC -
Prevention of Sexual
Directors
TRAINING Harassment (POSH) Annual X X X X X
- Office Chiefs
Training
- General Managers
FMWRC Judge
Advocate, Directors, ANTITERRORISM
TRAINING Annual X X X X X ANTITERRORISM LEVEL I TRAINING
Office Chiefs, and LEVEL I TRAINING
General Managers
FMWRC Judge
All OGE 450, SF 278 FILLERS AND ACQUISITION
Advocate, Directors,
TRAINING ETHICS TRAINING AR 350-1 Nov-07 Legal OTJAG X X X Annual X X X X X PERSONNEL WILL COMPLETE ONE HOUR OF http://www.usapa.army.mil/pdffiles/r350_1.pdf
Office Chiefs, and ANNUAL ETHICS TRAINING.
General Managers
FMWRC Judge
Joint Ethics
Advocate, Directors, http://www.dod.mil/dodgc/defense_ethics/ethics_regula
TRAINING TRAINING Reg DOD Nov-07 USAEC OTJAG X X X Annual X X X X X USAEC DEVELOPED CHECKLIST
Office Chiefs, and tion/dir550007.pdf
5500.7R
General Managers
14 of 38 C:\Docstoc\Working\pdf\f3b07571-dcf7-4731-895d-a494f815dd2f.xlsHQ IMA MCP FY 07-11 4/22/2011 at 4:47 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 17 TAB A, EXPLOSIVES CHECKLIST
10c Review explosives actions for accuracy and
completeness prior to forwarding to the IMA Safety
Office?
10d Maintain records of biannual lightning protection system
test reports and semi-annual visual inspections?
10e Review QASAS inspection reports?
11 Is there a formal training and certification program for all
personnel who handle ammunition and explosives?
Are explosives safety arcs depicted on installation
master plans maps?
12
Do ammunition/explosives handling and storage
activities all have adequate Standing Operating
Procedures (SOPs)for operations and emergencies?
13
14 Is the ISO involved in the review and approval process
for ammunition/explosives handling and storage SOPs?
15 Are explosives incidents and accidents properly
investigated and reported?
Evaluator: ________________________________ Title: ______________________________________
Signature:_________________________________ Date:_______________________
Describe how evaluation was conducted:
List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses;
samples of data; interview notes; memos for record; email messages; ISR data; PMR results; audit
report; etc:
*
*
*
*
PAGE 18 TAB A, EXPLOSIVES CHECKLIST
TAB B
MANAGEMENT CONTROL POLICY
INSTALLATION REAL PROPERTY MANAGEMENT
1. The purpose of this management control policy is to establish management controls to
ensure effective real property management by Army installations and Army Commands.
These management controls serve as a guide or checkpoint to ensure that critical actions
associated with real property management are carried out in an accurate and timely manner.
The following subparagraphs represent the minimum controls to be applied at each
installation that has a real property accountability mission. Contracting Officer's
Representatives must assure this reporting requirement is included in contracts where the
contractor performs most of the real property functions. Approved BRAC closure and
approved non-BRAC excess installations are exempt from this reporting requirement. When
answering the following questions; answer Yes/No, or if a question does not apply to your
installation, enter NA (for example: question 22 regarding "leasehold improvements" - if there
are no leasehold improvements, enter NA.) Comments providing additional information may
be submitted on a separate sheet referencing Test Question Number.
a. Verify the accuracy of the installation’s RPI:
(1) Real property accountable officers will ensure that every facility on the installation is
verified for accuracy on the RPI by conducting a physical survey in accordance with AR 405-
45. Results of these accuracy surveys will be kept on file in the building information file in the
installation real property office.
(2) Key items to verify include:
(a) Correct Design Use Category Code (CATCODE) that reflects the current
design of the facility (see DA PAM 415-28 for correct codes).
(b) Correct Current Use Category Code (CATCODE) that reflects any temporary
diversions (see DA PAM 415-28 for correct codes).
(c) Accurate Year Built and/or Acquired. for each facility.
(d) Accurate Area (UM1) or Capacity (UM2) for each facility (see DA Pam 415-28
for correct UM1 and UM2).
(e) Current Occupants of each facility identified by a valid Unit Identification Code
(UIC) (valid UICs obtained from ASIP POC).
(f) Last Inspection Date
(g) Identification of Historical facilities (obtained from the Environmental, Cultural
Resource Office).
Page 19 TAB B, RPI MGT CHECKLIST
(h) Identification of inactive and closed facilities to include but not limited to
ranges and landfills (information obtained from the Environmental and DPT Offices). (see DA
PAM 405-45 for correct codes). Note: for ranges and landfills that have closed the records
will stay in the RPI and the IFS Facility Activation Status Code will be set to Inactive until the
closed status code has been implemented in the system.
(i) Net Usable Square Feet. This is key in accurately determining utilization rates
(j) Sustainment and Replacement Fund Codes and Organization Codes.
(k) Ensure new facilities and capital improvements to existing facilities are posted
into the RPI in a timely manner:
(l) Utilization rate for the design use(s) and overall facility as per AR 405-70
(3) Site inspections by other DPW personnel may be considered as valid verification
visits as long as the items above are actually verified (see AR 405-45 for detailed guidance).
The results of the survey are to be documented and maintained in the building information
file, and in IFS by entering the survey date in the Date RPI Inspection field.
(4) The DD Form 1354 is the key to recording new construction of facilities as well as
capital improvements/decreases to existing facilities. The following controls will be applied at
a minimum:
(a) Project engineers/managers are to prepare the DD Form 1354 for new
construction and capital improvements and submit to the real property office within ten (10)
working days of project completion. Note: If the project is being managed/ executed by the
Construction Agent then the installation project engineer manager must coordinate with them
to get timely receipt of the DD Form 1354. Use of an interim DD Form 1354 is acceptable if
the final document is not yet available from the Construction Agent and we have beneficial
occupancy.
(b) After Real Property reviews DD Form 1354 (RPAO will have ten (10) working
days to review) and finds it does not have accurate data, it will be returned back to the project
engineer/manager for corrections; the project engineer/manager will correct within ten (10)
working days and resubmit to real property.
(c) Real Property Office is to post capitalization data within ten (10) working days
after acceptance of the DD Form 1354.
(d) All changes are to be recorded in the same fiscal year that the changes
occurred. If they occur after the year of execution, posting dates of the actual date of
completion are to be used and remarks included on why the delinquency of posting.
Page 20 TAB B, RPI MGT CHECKLIST
(e) Capital Improvement Definition. The costs to improve a real property asset
shall be capitalized when the costs of the improvement increases the real property asset’s
square footage, size, efficiency, or useful life; e.g. if a replacement was undertaken to improve
or expand the efficiency of an asset that was in good working order, then the replacement is
an improvement to be capitalized. When a facility or facility component has failed, is in the
incipient stages of failing or is no longer performing the functions for which it was designated it
is NOT a capital improvement and should not be recorded in the real property inventory.
(f) Depreciation expense in turn affects the book balance of the asset. The source
of the information is usually obtained from the project engineer/manager and must be
recorded on a DD Form 1354 at the time. (Note: this does not mean you have accepted the
real property asset or improvement, only that is ready for use.)
(g) Keep the original date of capitalization to include the improvement beneficial
occupancy date when adjusting costs resulting from the receipt of final DD Form 1354 or
correcting any erroneous postings.
(5) Project engineers/managers are to verify that projects listed as “construction in
progress” are transferred to real property accounts as soon as the assets are placed in
service. Real Property will setup a suspense file to track CIP until construction is complete
and transferred to real property. Upon completion of a capital improvement project the
Project Engineer/Manager’s will close out the CIP with the local finance office and send a DD
1354 to real property for posting in the RPI.
(6) The Real Property Officer will be included in the final inspection for acceptance of
all facilities projects. This final inspection will be a joint inspection with the project
engineers/managers and the real property accountable officer.
(7) A tracking system will be developed for all transactions received in the real property
office. The vouchers will be date stamped in the real property office and logged in the
voucher register.
(8) Ensure the posting of disposals of existing facilities from the RPI in a timely
manner:
Page 21 TAB B, RPI MGT CHECKLIST
(a) All facilities planned for disposal will be annotated with the proper planned
disposal code on the IFS Real Property Facility Use screen as soon as a determination is
made by the DPW that the affected facility is to be disposed. (See DA PAM 405-45 for a list
of approved codes.) Also the year disposal execution is planned will be entered in the IFS
Disposal Screen. Timely posting is critical in order to prevent work orders or improvements to
be executed against facilities targeted for disposal (less safety or health issues).
(b) Once a facility is disposed, you must do the following:
- Enter the disposal date completed and the date dropped from the inventory
on the IFS disposal screen
- Set the reportability code for the facility to “D” on the Real Property Facility
Screen.
(c) All disposed real property will be removed from the inventory in the same fiscal
year that the property was disposed. If property is posted after the FY it was disposed, you
must use the actual date of disposal completion for posting. After reporting a disposed facility
to HQ EIS one quarter, IFS (sites using only Real Property module) will automatically delete
the disposed facility from the system. IFS will also attempt to delete the disposed facility from
those IFS sites that use other modules of IFS; however, if there is an outstanding open work
document or a phase of a multi-phased work document, the IFS system will be unable to
delete the disposed facility from the IFS system. You must alert the work order office to close
out all work/service orders.
(9) Ensure records reflecting land ( 91XXX or 92XXX) are not part of a multiuse facility.
Keep all land records separate from other facility types.
(10) Ensure that leasehold improvements are recorded with a proper capitalization
voucher and entered into the real property inventory as a capital improvement. Leasehold
improvements are capital improvements to an inlease (ownership code of 2 or 6). The capital
improvement must be above the base costs of the negotiated lease costs, e.g., adding a
Special Compartmented Information Facility (SCIF) to a leased building.
(11) Ensure that grant information is vouchered and recorded into the real property
inventory within ten (10) working days from receipt of the real estate instrument. Information
to be recorded is Grant Instrument Number, Start/End dates, and space assignments.
(12) Cost Definitions.
(a) Acquisition Cost. Acquisition cost is the original purchase cost less any
purchase discounts.
Page 22 TAB B, RPI MGT CHECKLIST
(b) Book Value. Book value is the recorded cost of a real property asset, less its
accumulated depreciation.
(c) Fair Market Value/Fair Value. Fair market value (also known as fair value) is
an unbiased, equitable or just value based on the cost of a similar asset or the price that an
impartial buyer would be willing to pay for the asset or a similar asset.
(d) Recorded Cost. The recorded cost or value shall include the amount(s) paid
to bring the property to its form and location suitable for its intended use. This shall include
ancillary costs.
Ancillary Costs include:
(a) Amount paid to vendor.
(b) Labor and other direct or indirect costs to construct.
(c) Engineering, architectural and other outside services for designs, plans,
specifications, and surveys.
(d) Acquisition and preparation costs of buildings and other facilities.
(e) Direct costs of inspection, supervision, and administration of construction
contracts and construction work.
(f) Legal and recording fees and damage claims.
(g) Fair value of facilities and installed equipment donated.
(h) Interest paid (not including late payment interest penalties).
(13). Real Property Costs/Values.
(a) All facilities to include land will have a dollar value recorded and supported by
appropriate documentation (DD Form 1354, DA Form 337, Real Estate Instruments). These
documents are to be retained for the life of the facility plus six (6) years and should be kept in
the building information file.
(b) For facilities that have zero dollar value and no documentation is available
(written or electronic), estimates of the cost shall be made as well as estimates for any
accumulated depreciation or amortization which would have been taken had the asset been
recorded at the time it was acquired. The methodology used should be well documented in
both the Facility Information Folder and in remarks in IFS. Estimates shall be based on:
- The cost of similar assets with auditable source documents on the same installation
wherever possible.
- Engineering cost estimates for newer, higher value assets discounted for inflation since the
acquisition date.
- Plant replacement value (PRV) for older, lower value assets.
Page 23 TAB B, RPI MGT CHECKLIST
(c) Purchased Real Property. The costs to be recorded for purchased real
property shall be its acquisition cost plus applicable ancillary costs.
(14) Constructed Real Property. The cost of real property while under construction is
recorded in the Standard General Ledger Construction-in-Progress account. When the project
belongs to the Army Corps of Engineers or other Federal construction agent, they will report
to the Construction-in-Progress Account until property has been transferred to the Real
Property Accountable Officer. If the project belongs to the installation, they will report to the
Standard General Ledger account for Construction in Progress Account until transferred to
the Real Property Accountable Officer. Only the costs associated with demolishing the
facilities that are part of the footprint of the construction project shall be included in the cost of
the new facility.
(15) Donated Real Property. The cost to be recorded for Real Property acquired by
donation, execution of a will or judicial process, excluding forfeiture, shall be its estimated fair
value at the time of acquisition.
(16) Exchanged Real Property. The cost to be recorded for real property acquired
through exchange shall be the fair market value of the property surrendered at the time of
exchange.
(17) Seized and Forfeited Real Property. The cost recorded for real property
acquired through seizure or forfeiture shall be its fair market value.
(18) Transferred Real Property. The cost recorded for real property transferred from
another DoD component or federal agency shall be the cost recorded on the transferring
entity’s books, net any accumulated depreciation. If the transferring entity does not have the
value, they should then provide the cost of its fair market value at the time of transfer shall be
used.
(19) Year-end close out controls. Installations will assure that all real property
changes are included in the real property inventory database by Close of Business on the last
working day of September each fiscal year, or earlier as directed by ACSIM, DAIM-ZS. The
practice of using report processing cutoff dates before the fiscal year ends because of year-
end closing procedures will not be applied to real property processes.
Page 24 TAB B, RPI MGT CHECKLIST
(20) Annual Reconciliation. Annual reconciliation with tenant activities will be done. A
RPI will be submitted to tenant activity, reflecting only those facilities they are occupying.
Recommend a face-to-face meeting be done in the Real Property Office to have the tenant
validate their use and produce documentation of changes. This should be done in the third or
fourth quarter each fiscal year. Reconciliation is to verify the key items in section (2).
(21) The Real Property Officer is to validate that all vouchered documents that affect
the financial statements e.g., acquisition, capital improvements, use, and disposals have been
recorded accurately and timely. This validation is to be done monthly and each line item is to
be verified that the data was entered correctly.
(22) A Management Control Evaluation Guide is attached below. This evaluation is to
be conducted in accordance with AR 11-2, Management Control. It is recommended the
Installation’s existing management review process be used.
(23) Installations are to have Management Controls and all pertinent
regulations/policies available in each real property office.
(24) IMA is to publish implementing guidance for these real property management
controls executed at garrison level. The controls outlined in this memorandum may be
supplemented as the IMA activity sees fit, however, these are the minimum set of controls
deemed necessary to ensure sound management of the RPI.
MANAGEMENT CONTROL EVALUATION GUIDE
INSTALLATION REAL PROPERTY MANAGEMENT
A. Function
The function covered by this checklist is Installation Real Property Management.
B. Purpose.
The purpose of this checklist is to assist the Assistant Chief of Staff for Installation Management
C. Instructions
Page 25 TAB B, RPI MGT CHECKLIST
Answers must be based on the actual testing of key management controls (for example, document
analysis, direct observations, sampling, other). Answers which indicate deficiencies must be explained
and corrective action indicated in supporting documentation. Army organizations must review their
controls periodically (using this checklist) in accordance with the major command management control
plan and certify that the evaluation has been conducted on Department of the Army (DA) Form 11-2-R
(Management Control Evaluation Certification Statement). Army organizations should follow directions
in Army Regulation (AR) 11-2, Management Control. Director of Public Works, Real Property Offices
are encouraged to use these control guidelines for day-to-day operations.
D. Test Questions (A negative answer might indicate a management control weakness if the manager
believes it results in a significant, systemic problem. If uncertain, discuss the evaluation results with
your management control administrator and review material weakness criteria. )
1. Are the pertinent regulations/policies (AR 405-45/DA PAM 405-45, AR 415-28/DA PAM 415-28) on
Installation Real Property Management available in the real property office?
2. Is a tracking system (voucher register) being used in the Real Property Office to track DD Form
1354’s, DA Form 337’s or Real Estate Instruments?
3. Were the DD Form 1354’s, DA Form 337’s or Real Estate Instruments properly tracked on the
voucher register?
4. Was the Real Property Accountable Officer included in the final inspection for acceptance of all
facility projects?
5. Were the DD Form 1354’s completed by the project engineers/managers and submitted to the real
property office within 10 working days of project completion?
6. Were the DD Form 1354’s accurately completed by the project engineers/managers or did the real
property office return them for corrections?
7. Were the DD Form 1354’s returned to project engineer/managers for inaccuracies corrected and
resubmitted to the real property office within 10 working days?
8. Were the DD Form 1354’s capitalization data entered into the Real Property Inventory within 10
working days of acceptance?
9. Was the original date of capitalization kept when adjusting costs resulting from the receipt of final
DD Form 1354 or correcting any erroneous postings?
Page 26 TAB B, RPI MGT CHECKLIST
10. If the DD Form 1354 was posted after the FY that project was completed, was it recorded with the
date that the acquisition or capital improvement actually occurred?
11. Is all building usage properly identified on the DD Form 1354 and recorded in the real property
inventory?
12. Has a diversion been done when use of a facility has changed from the design use for a short
period of time not to exceed 3 years?
13. Has a conversion been done when use of a facility has changed from the design use when use is
more than a 3 year period?
14. Do all facilities to include land have a dollar value recorded and supported by appropriate
documentation?
15. Did the Real Property Accountable Officer verify line by line that the DA Form 1354 data had been
accurately entered into the real property inventory?
16. Were facilities planned for disposal properly recorded in the real property database in the
Integrated Facilities System with the planned disposition code and proposed year of execution?
17. Were DA Form 337’s accurately completed within 10 working days of disposal
completion?
18. Were disposed facilities correctly identified with appropriate disposal information in the
real property database in the Integrated Facilities System within 10 working days from
disposal completion?
19. If disposed facility was removed in the next fiscal year after disposal completion, did the disposal
completion date reflect the actual date of disposal completion and were remarks included that
explained the delinquency of posting?
20. Are land records (91XXX or 92XXX) a separate facility number from buildings, structures, or
utilities?
21. Has grant information been accurately recorded in the real property inventory (type instrument,
start/end dates) and space assignment been completed?
Page 27 TAB B, RPI MGT CHECKLIST
22. Were leasehold improvements recorded with a proper capitalization voucher and entered into the
real property inventory as a capital improvement?
23. Were all real property changes included in the real property inventory by Close of Business on the
last working day of September?
rd th
24. Were annual reconciliation’s with tenant activities performed in the 3 or 4 quarter to review
facilities occupied by tenant, UM of facility, facility usage, Capital Improvement Costs that may have
been done by the tenant activity, UIC’s, and RPM responsibility?
25. Has every facility in the real property inventory been verified for accuracy by a physical survey at
least once every five years for general and working capital fund property and every three years for
heritage assets? Assets not in use (BRAC/Non BRAC Excess sites, and unutilized facilities) may be
inventoried using statistical sampling. NOTE: Contractors in possession of government property are
exempt from survey policy, since they adhere to Federal Acquisition Regulation property accountability
requirements. This exemption will not include A-76 contractors that perform real property
accountability functions in lieu of government staff.
26. Are the physical inventory surveys kept on file in the building information file in the real property
office?
Evaluator: ________________________________ Title: ______________________________________
Signature:_________________________________ Date:_______________________
Describe how evaluation was conducted:
List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses; samples of
data; interview notes; memos for record; email messages; ISR data; PMR results; audit report; etc:
*
*
*
*
Page 28 TAB B, RPI MGT CHECKLIST
TAB C
Management Control Evaluation Guide
Base Support Reimbursement and Support Agreement/MOU/MOA Process
1. Function
The function covered by this guide is the administration of the Army Base Support
Reimbursement Process
2. Policies. DoD Instruction 4000.19, IMA NETCALL #18, the most current IMA OMA
Funding Guidance, AR 5-9, Army Reimbursable Policy, and the most current IMA support
agreement guidance.
3. Purpose
The purpose of this guide is to assist commanders and managers in evaluating critical
management controls within this process, as outlined below. It is not intended to cover all
controls over the reimbursement and support agreement process.
4. Instructions
Answers must be based on the actual testing of the management controls (for example, by
analyzing documents, observing the support agreement manager or budget officer in
operation, sampling and comparing agreements to actual financial data, simulating functions
within the process to find whether controls work as intended, or other available method).
Answers that indicate deficiencies must be explained and corrective action indicated in
supporting documentation. These important management controls must be formally
evaluated annually given the high risk for loss of resources through incorrect
reimbursements. Certification that this evaluation was conducted must be accomplished on
DA Form 11–2–R (Management Control Evaluation Certification Statement).
5. Evaluation Questions for Garrisons.
a. Does the installation supplier provide a non-reimbursable common level of support on
the same basis to all Army customers without a recurring fee-for-service arrangement? If
not, do controls need to be changed to correct this?
Suggested testing method : Review to determine if the garrison has implemented a CLS
Catalog of Services. Review a sampling of intra-Army support agreements on file to
determine if any require a recurring reimbursement for common level base support services
(i.e., reimbursements other than approved above-CLS service or mission unique support.)
Review a sampling of actual installation financial data reports to determine whether any
intra-Army reimbursements are occurring for common level base support services that are
not backed up by a support agreement.
b. Does the installation supplier charge all non-Army DoD and Federal customers for
measurable and attributable incremental direct support costs? If not, do controls need to be
strengthened to correct this?
Suggested testing method : Review a sampling of inter-service and intra-governmental
support agreements on file to determine whether measurable and attributable incremental
direct reimbursements are identified. Compare the sampling to the actual financial data
reports to determine whether the reimbursements actually occurred as required.
c. Do required support agreements (DD Forms 1144) exist, or are they in the process of
being developed to validate recurring reimbursable arrangements with applicable
customers?
Suggested testing method : Review the non-Army customers listed on the Army
Stationing and Installation Plan and on real property records to determine whether any are
on post without a reimbursable support agreement. Review a sampling of actual financial
data reports to determine whether recurring reimbursements are taking place without a
corresponding support agreement to validate them.
d. Is a trained and experienced support agreement manager (or managers) assigned?
Suggested testing method : Observe whether a support agreement manager is assigned
for the installation supplier. Interview the manager to determine level of experience and
training (e.g., attending the Defense Regional Interservice Support Course, or on-the-job
training).
e. Is the installation supplier keeping up adequately with the required triennial reviews of
support agreements?
Suggested testing method : Review the support agreement manager’s tracking records
(e.g., spreadsheet) to analyze the percentage of agreements that have received a review or
update sometime within the past three years.
f. Are support agreements (DD Forms 1144) signed by both the Director of Resource
Management and the Garrison Commander IAW the GAO Standard of "separation of
duties"?
Suggested testing method : Review a sampling of support agreements on file and note
who has signed them.
g. Are customers provided sufficient lead-time (i.e., minimum 180 days) to program and
budget for changes to their support agreements that cause a significant increase in cost?
(Exceptions allowed in instances where annual funding program lowers base operation
support; suppliers will notify customers as soon as possible how the annual funding program
will affect their level of service.)
Suggested testing method : Review a sampling of correspondence and records of rate
increase and note number of days notice given to customers. Interview a sampling of
customer points of contact.
h. Are disputes over reimbursement responsibilities being elevated for resolution in a timely
manner? Are the issues resolved quickly enough to prevent a detrimental impact to the
customer’s mission or the installation supplier’s ability to provide support?
Suggested testing method : Review a sample of memoranda and emails that elevated
reimbursement issues for resolution. Interview the customer and installation supplier
representative to assess how quickly the issues were resolved and note any negative
impacts.
Evaluator: ________________________________ Title: ______________________________________
Signature:_________________________________ Date:_______________________
Describe how evaluation was conducted:
List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses;
*
*
*
*
TAB D
AUTHORIZATION PROCESS FOR DIRECT PURCHASES FROM PRIME VENDORS
Task: Evaluate the organization's controls and procedures designed to prevent unauthorized purchases from
Prime Vendors. Recommend applying the GAO internal control principle of "separation of duties" when
establishing procedures and controls for prime vendor purchasing (i.e., a separate party approves all prime
vendor purchases before they are initiated.). Financial policy requires all organizations to establish internal
controls in this area. For more information: DFAS-IN REGULATION 37-1 (CHAPTER 9)
Background: Past IMA evaluations of garrison activities discovered that without proper controls in this area,
activities may directly order from a prime vendor without the certifying approval of a proper authority (e.g.
approval of the Director Resource Management, the Division Chief, Garrison Commander, etc.). During FY05,
an evaluation uncovered a situation where a mission activity at one installation in the Northwest Region had
purchased $17 million worth of supplies and equipment from the prime vendor (i.e., Defense Logistics Agency)
without proper approval. During FY04, an evaluation in the Pacific region found that a garrison activity had
made improper purchases from a prime vendor (i.e., a designated contractor), which resulted in $278K for
supplies being charged to the wrong fiscal year, estimated $156K in wasted time, $82K annually wasted in
unnecessary overtime and an estimated $9K annually for unnecessary additional contracted work.
Suggested evaluation questions:
Does the organization have a written policy and procedure that requires staff members to obtain
approval from a separate authority prior to making a prime vendor purchase?
Does the written policy/procedure appear to be appropriately applied and executed by staff?
Are budget analysts assigned to track and execute funding for all direct prime vendor purchases IAW
DOD financial policy?
If the prime vendor purchase procedure is outlined within a contract statement of work (SOW), are the
applicable parties within your organization following the SOW procedures correctly, and is the
appropriate party enforcing the SOW?
Give 2-3 examples:
From your evaluation, do you find that your organization overall is making only authorized prime vendor
purchases?
Evaluator: ________________________________ Title: ______________________________________
Signature:_________________________________ Date:_______________________
Describe how evaluation was conducted:
List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses; samples
of data; interview notes; memos for record; email messages; ISR data; PMR results; audit report; etc:)
*
*
*
TAB E
DEFENSE BUSINESS SYSTEM MODERNIZATION CERTIFICATION APPROVAL
Evaluate the controls within your organization that incorporate these new rules. Are the
controls adequate? If not, what is your recommendation, as the evaluator, for improving the
controls to obtain reasonable assurance for the organization? (The Information Management
Officer [IMO] typically serves as evaluator for this process.).
FY 05 NDAA: The Ronald W. Reagan National Defense Authorization Act (NDAA) for Fiscal Year
(FY) 2005 states that funds appropriated to the Department of Defense (DoD) may not be
obligated for a defense business system modernization that will have a total cost in excess of $1 M
unless—
1) the approval authority designated for the defense business system certifies to the Defense
Business Systems Management Committee that the business system modernization is in
compliance with the enterprise architecture; is necessary to achieve a critical national security
capability or address a critical requirement in an area such security or safety; or is necessary to
prevent a significant adverse effect on a project that is needed to achieve an essential capability,
taking into consideration alternative solutions;
2) the certification by the approval authority is approved by the Defense Business Systems
Management Committee.
For more information: http://www.defenselink.mil/dfas/legislative/FY05/section8083-2005.htm
What does 10 U.S.C. 2222 require in regard to "defense business system
modernizations?"
Effective 1 Oct 05, any defense business system modernization that will have a total cost in excess
of $1M must be reviewed by the appropriate Office of the Secretary of Defense (OSD) Investment
Review Board (IRB), certified by the designated Approval Authority and the certification must be
approved by the Defense Business Systems Management Committee (DBSMC) before any funds
for modernization can be obligated. For more information:
http://www.dod.mil/bmmp/govern_dbsmc.html
What if funds are obligated without certification and approval required by 10 U.S.C.
2222?
An officer or employee of the U.S. Government that knowingly and willfully obligates funds for a
defense business system modernization that has a total cost of over $1M without an approved
certification will violate 31 U.S.C. 1341(a)(1) (the Anti-Deficiency Act (ADA)). The ADA provides
for a fine of up to $5000.00, and imprisonment for not more than 2 years, or both.
What is a "defense business system?"
An information system, other than a national security system, operated by, for, or on behalf of the
DoD, including financial systems, mixed systems, financial data feeder systems, and information
technology and information assurance infrastructure, used to support business activities.
Page 37 TAB D, DBSMC CHECKLIST
What is a "defense business system modernization?"
The acquisition or development of a new defense business system; or an significant modification or
enhancement of an existing defense business system (other than necessary to maintain current
services.).
Do Commercial off-the-shelf (COTS) acquisitions also require certification?
Yes.
Does the $1M threshold apply to the annual cost, or the total cost of a modernization, or
to the life cycle cost of all program modernizations?
It applies to the total cost of the modernization from concept refinement phase, or pre-initiation
phase, to deployment (but not including operation and support (i.e., sustainment phase).
Evaluator: ________________________________ Title: ______________________________________
Signature:_________________________________ Date:_______________________
Describe how evaluation was conducted:
List and attach documentation that illustrates the evaluation (e.g., datacall memo and responses;
samples of data; interview notes; memos for record; email messages; ISR data; PMR results; audit
report; etc.):
*
*
*
Page 38 TAB D, DBSMC CHECKLIST
