CDRL A028 Attachment 1 - Assertion MFR (Amendment 0001).docx

DLA Distribution HQs

MEMORANDUM FOR RECORD (MFR)

Date:

Due Date:

Return to: Contracting Officer’s Representative (COR) Distribution Center Contractor Supervisor / Manager: (Insert your name here) Role: (Cite your position e.g. Site Manager, 2nd Line Supervisor, or or 1st Line Supervisor, as applicable)

Distribution Center: (Insert Your Distribution Center Acronym) Functional Area: (Select the areas for which you have responsibility and insert here; the higher up the chain, the more responsibilities you will have)

· Offload/Tally

· Receipt/induction

· Stow/Warehousing

· Rewarehousing

· Stock Selection (Pick/Pack/Prep shipment)

· COSIS Processes

· PPP&M

· Physical Inventory Processes

· Transportation

X

To sign, save file as a .pdf, select “Tools”, “Certificate”, “Digitally Sign”, then create your signature in the block above.

As of this date I am asserting that my area of supervision can, can somewhat, or cannot (select one) pass the upcoming FY21 Financial Audits. Using the levels and definitions of assurance below:

· Adverse – No assurance (Cannot Assert)

· Modified/Qualified - Some issues noted / Some assurance (dependent upon pervasiveness to each specific process and the invidual and cumulative errors/deficiencies noted) (Can Somewhat Assert)

· Unmodified/Unqualified – Reasonable Assurance that Internal Controls are adhered to / No issues noted/defeciencies noted (Can Assert)

Relevant Information that you used to make your determination on Assertion: Insert comments here

Assertion: I am asserting that I and all my subordinate levels of managers/supervisors/employees are executing tasks IAW all Department of Defense (DoD), Defense Logistics Agency (DLA) Policies and Regulations and DLA Distribution Standard Operating Procedures (SOPs). These Policies, Regulations, and Procedures enable alignment of the workforce to comply with FY21 MDS Control Objectives (attached) and Control Activities (in SOPs) as they relate to the Internal Controls audit for Service Owned Items in DLA Custody.

Note: If you selected that your area(s) cannot or can only somewhat pass the upcoming FY21 Audits in the functional area(s) for which you hold responsibility, then you must identify your specific corrective actions underway with your leadership and workforce to correct the shortfalls. Examples include: testing, documentation of employee performance, training (primarily used for new employees), retesting, and when you will consistently perform IAW Policy and Procedures in your area (i.e. 0 errors per 45 samples using post-performance testing against control activities noted in SOPs) to pass audit.

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