CDRL A028 Audit Assertions (Amendment 0001).pdf

DD FORM 1423-1, FEB 2001

CONTRACT DATA REQUIREMENTS LIST

(1 Data Item)

PREVIOUS EDITION MAY BE USED.

Form Approved OMB No. 0704-0188

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services and Communications Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in Block E.

A. CONTRACT LINE ITEM NO. B. EXHIBIT C. CATEGORY:

TDP ________ TM _______ OTHER

D. SYSTEM/ITEM E. CONTRACT/PR NO. F. CONTRACTOR

1. DATA ITEM NO. 2. TITLE OF DATA ITEM 3. SUBTITLE

4. AUTHORITY (Data Acquisition Document No.) 5. CONTRACT REFERENCE 6. REQUIRING OFFICE

7. DD 250 REQ

8. APP CODE

9. DIST STATEMENT

REQUIRED

10. FREQUENCY

11. AS OF DATE

12. DATE OF FIRST SUBMISSION

13. DATE OF SUBSEQUENT

SUBMISSION

14. DISTRIBUTION

a. ADDRESSEE

b. COPIES

Draft Final

Reg Repro

15. TOTAL

16. REMARKS

17. PRICE GROUP

18. ESTIMATED

TOTAL PRICE

G. PREPARED BY H. DATE I. APPROVED BY J. DATE

Page of Pages

This assertion is to affix accountability and responsibility on Contractor supervisors and management for the execution of work performed IAW the contract requirements, which include the DoD and DLA Regulations, Laws, and Policies and the DLA Distribution Standard Operating Procedures.

The Contractor shall use Attachment 1, Assertion MFR, to complete the monthly assertion from the first line supervisor up through the Contractor's senior managers (Site and Alternate Site Manager). Attachment 2 provides the Control Objectives and Risks. The Contractor performing the Storage and Distribution requirements hold responsibility for ensuring the processes are being performed accurately in accordance with standard operating procedures referenced in the Contract. Each supervisor and manager shall assert monthly that their assigned areas of responsibility are ready for audit OR their areas of responsibility are not ready for audit with an explanation of the shortfalls identified and the corrective actions being taken to mitigate the shortfalls to become ready for audit. Every supervisor and manager shall sign and shall remain accountable for their results, to include the results of any audits conducted by external activities within their area(s) of responsibility.

The MFR shall be signed by each supervisor and manager NLT the last workday of each month. The consolidated package of all MFRs shall be provided to the COR the first work day of the next month.

Block 7 - Inspection and acceptance requirements:

The COR and Distribution Center Leadership will review and accept the monthly audit assertion memos.

Block 14 - Distribution - Contractor to submit original to COR and copy to the Contract Specialist.

Attachment 1 - Assertion MFR Attachment 2 - Control Objectives and Risks