DLA Dist 4140.13 Location Survey - July 2020 (Amendment 0002).pdf

Inventory – Location Survey SOP 4140.13

Defense Logistics Agency

STANDARD OPERATING

PROCEDURE

DLA Distribution J4 Inventory Control SOP 4140.13 Effective Date: 1 July 2020

DLA Distribution J4/BB

SUBJECT: Inventory - Location Survey

References:

1. DLA Distribution Inventory Control Process Manual

2. Additional references are included in Enclosure 5

Version Control:

1. Previous Version Date: 15 March 2020

2. Current Version Date: 1 July 2020

3. Changes: See Change Log

1. PURPOSE: This Standard Operating Procedure (SOP) provides employees with a working knowledge of the Location Survey requirement in accordance with the procedures cited in the above references and the references cited in Enclosure 5.

2. APPLICABILITY: This SOP applies to all DLA Inventory employees performing the

Location Survey/Location Validation functions using the Distribution Standard System (DSS).

3. DEFINITIONS: See Enclosure 9, Glossary.

4. RESPONSIBILITIES: See Enclosure 1, Responsibilities.

Inventory – Location Survey SOP 4140.13

5. PROCEDURES:

a. OVERVIEW: See Enclosure 2, Procedures.

b. DESCRIPTION:

(1.) See Enclosure 2, Procedures.

(2.) See Enclosure 3, Location Survey Flow Chart.

c. INPUTS/OUTPUTS: See Enclosure 2, Procedures.

6. INFORMATION REQUIREMENTS:

a. Access to the Distribution Standard System (DSS).

b. Access to CA-DISPATCH.

c. Completed YE6V, Location Survey listing.

The Evidential Matter related to this SOP is available on the following eWorkplace DLA Audit Readiness Tool website: https://dlamil.dps.mil/teams/C12/603/Pages/processes.aspx

7. INTERNAL CONTROLS:

a. Refer to the Risk and Control Matrix.

b. The Role-Based Access Codes (RBAC) roles used in this SOP can be found at: P-

37_Plan_Dist_Description of Roles https://dlamil.dps.mil/teams/C12/603/Documents/Forms/HQ%20Distribution%20Manageme nt%20SOP.aspx

8. RELEASABILITY: RESTRICTED. This SOP is approved for restricted release. It is available to users with Common Access Card authorization on the following eWorkplace DLA Audit Readiness Tool Website:

https://dlamil.dps.mil/teams/C12/603/Pages/processes.aspx

9. EFFECTIVE DATE: This SOP is effective on 1 July 2020 and remains in effect until it is either superseded or cancelled.

https://dlamil.dps.mil/teams/C12/603/Documents/Forms/HQ%20Distribution%20Management%20SOP.aspx https://dlamil.dps.mil/teams/C12/603/Documents/Forms/HQ%20Distribution%20Management%20SOP.aspx

Inventory – Location Survey SOP 4140.13

Jessica Gratkowski Business Process Analyst DLA Distribution J4/BB

Joseph Rutkowski Chief, Materiel Accountability Division Distribution J4/BB

Enclosures

1. Responsibilities

2. Procedures

3. Standard Operating Procedure Flow Chart

4. For Future Use

5. Regulations

6. Gold Documentation

7. Record Retention Requirements

8. Additional Guidance

9. Glossary (Acronyms and Definitions)

CHANGE LOG

Inventory – Location Survey SOP 4140.13

Reviewed By Changes Made

Y/N

Change Description

24 Feb 2017 BPA and Div. Chief

Y Page 6 and 7, Enclosure 1 and 2: Notes at the beginning of the page.

No change to employees’ scope of work.

24 Feb 2017 BPA and Div. Chief

Y Page 7, Enclosure 2, para.1. Overview requirement: Management will ensure 100% of all storage spaces containing classified, sensitive and radioactive materiel (RAM) are surveyed each fiscal year and that samples are conducted for all areas in which pilferable materiel is stored.

Change to employees’ scope of work by reducing the amount of work performed.

24 Feb 2017 BPA and Div Chief

Y Page 7, Enclosure 2, para. 2. Initiating the Annual Location Survey or Resurvey: This plan shall be designed to ensure 100% of all storage spaces containing classified, sensitive and radioactive materiel (RAM) are surveyed each fiscal year and that samples are conducted for all areas in which pilferable materiel is stored.

Change to employees’ scope of work by reducing the amount of work performed.

24 Feb 2017 BPA and Div Chief

Y Format update. No Changes to the Process and No changes to employees’ scope of work

12 Feb 2018 BPA and Div Chief

N Format update. No Changes to the Process and No Changes to employees’ scope of work.

13 Apr 2018 BPA and Div Chief

Y Page 7, Responsibilities: 2.Inventory Management Supervisor/Team Lead: The Inventory Management Supervisor/Team Lead will: a. Ensure 100% wall to wall of all storage spaces for classified, sensitive materiel, pilferable and radioactive materiel (RAM) are surveyed annually.

Change to employees’ scope of work by increasing the amount of work performed.

CHANGE LOG

Inventory – Location Survey SOP 4140.13

Reviewed By Changes Made Y/N

Change Description 20 May 2019 BPA and

Div Chief N Added Note 4 in Enclosure 1 and 2.

No change to employee scope of work.

20 May 2019 BPA and

Div Chief Y Added step 4 to paragraph 6 (page 15).

“Date, sign and file completed copies of PE3U AD HOC Report for evidential matter.”

12 Mar 2020 BPA and Div Chief

N Added “Refer to the Risk and Control Matrix” to Paragraph 7, Internal Controls in the Overview (Page 2).

Added Paragraph 7b in the Overview - Page 2.

Added Paragraph 2b in Enclosure 1 – page 7.

Added Paragraph 1b in Enclosure 2 – page 9.

Added new paragraph 4 in Enclosure 2 – page 13.

Updated paragraph 5, step 1.

No change to employee scope of work.

17 June 2020 BPA and Div Chief

N Paragraph 4 Step2

Clarified the limited survey process and AD-HOC codes used for the Location Validation process. See Paragraph 2, 4 and 5.

Added Location Validation definition in Enclosure 9.

No change to employee scope of work.

* Required Fields If change is marked “Yes” - change description must be completed identifying how the change will impact working conditions or work requirements for employee regardless of being in their Position Description (PD) (e.g. new or revised work process or procedure; requirement to do a procedure in the PD that wasn’t previously required). The specific change with page number should be annotated.

If change is marked “No” – change description should be annotated to say no change to employee scope of work.

TABLE OF CONTENTS

Inventory – Location Survey SOP 4140.13

TABLE OF CONTENTS

ENCLOSURE 1

RESPONSIBILITIES

ENCLOSURE 2

PROCEDURES

ENCLOSURE 3

PROCEDURE FLOWCHART

ENCLOSURE 4

FOR FUTURE USE

ENCLOSURE 5

REGULATIONS

ENCLOSURE 6

GOLD DOCUMENTATION

ENCLOSURE 7

RECORD RETENTION REQUIREMENTS

ENCLOSURE 8

ADDITIONAL GUIDANCE

ENCLOSURE 9

GLOSSARY (ACRONYMS AND DEFINITIONS)

ENCLOSURE 1

Inventory – Location Survey SOP 4140.13

RESPONSIBILITIES

Note 1: Ensure process is performed/completed properly and in its entirety.

Note 2: In order to standardize On the Job Training (OJT), Supervisors use the 4-step method of Job Instruction (JI) in conjunction with Job Breakdown Sheets (JBS’s). The JBS serves two purposes:

1). To break down Distribution processes into manageable segments of training using Enclosure 2, and local environmental factors that include safety and quality.

2). To effectively prepare for and deliver employee training using the 4-step Job Instruction Method.

JBS’s include the What, How, and Why. The “What” are steps that advance the work. The “How” includes what makes or breaks the job, hazards, and knacks. The “Why” explains the importance of the step (example: emphasizing Audit Readiness (AR) controls). Job Breakdown Sheets are not intended to alter or change the processes as documented in PCM’s, SOP’s, and Enclosure 2.

Therefore, the JBS’s should have no impact or alteration on established engineered time standards.

In addition the JBS’s are not a replacement for policy, or work instructions. Therefore, the JBS’s should not be handed out to employees, or posted in work areas.

Note 3: If at any time during processing a Nuclear Weapons Related Material (NWRM) notification is received, you will then proceed processing with SOP 5200.20 Found Nuclear Weapons Related Material (NWRM).

Note 4: In addition to the standard process, if an item is hazardous, follow the appropriate hazardous SOPs and/or if an item is classified/sensitive, follow the appropriate classified SOPs.

1. DISTRIBUTION CENTER SITE COMMANDER/DIRECTOR:

The Distribution Center Site Commander/Director will:

a. Provide general managerial oversight to the Location Survey Program.

b. Report on a monthly basis or as required, the results of the Location Survey program to the Commander, DLA Distribution on the Monthly Inventory Management Report

(MIMR).

2. INVENTORY MANAGEMENT SUPERVISOR/TEAM LEAD:

The Inventory Management Supervisor/Team Lead will:

a. Ensure 100 percent wall to wall of all location survey sub work areas containing classified, sensitive materiel, pilferable and RAM are surveyed at least once during the fiscal year.

b. Ensure 100 percent wall to wall location validation of all other sub work areas that are not contained in paragraph 2a (above) at least once during the fiscal year.

c. Print the YE8B1 Report, Survey History Report, at the beginning of the fiscal year.

d. Ensure the Location Survey process is accurately performed and successfully completed.

Inventory – Location Survey SOP 4140.13

e. Schedule the Location Survey.

f. Ensure Location Survey results are recorded in DSS.

g. Perform quality audits as required.

h. Management will ensure that all sub work areas meet the 99.5 percent accuracy rate.

i. Supervisor/Team Lead monitors open Location Surveys to ensure that the Location

Surveys/Location Validations are completed within 24 Hours.

j. Supervisor/Team Lead conducts random quality audits of completed Location Survey results to ensure Location Surveys are completed accurately.

k. Location Survey/Location Validation YE6V report results are filed. (See Records Retention

Requirements in Enclosure 7)

3. INVENTORY MANAGEMENT EMPLOYEE:

The DLA Distribution Inventory Management employee will:

a. Schedule the Location Survey/Location Validation, as required.

b. Conduct the Location Survey/Location Validation.

c. Record Location Survey/Location Validation results in DSS, as required.

d. Notify the Supervisor/Team Lead of any issues.

ENCLOSURE 2

Inventory – Location Survey SOP 4140.13

PROCEDURES

Note 1: Ensure process is performed/completed properly and in its entirety.

Note 2: In order to standardize On the Job Training (OJT), Supervisors use the 4-step method of Job Instruction (JI) in conjunction with Job Breakdown Sheets (JBS’s). The JBS serves two purposes:

1). To break down Distribution processes into manageable segments of training using Enclosure 2, and local environmental factors that include safety and quality.

2). To effectively prepare for and deliver employee training using the 4-step Job Instruction Method.

JBS’s include the What, How, and Why. The “What” are steps that advance the work. The “How” includes what makes or breaks the job, hazards, and knacks. The “Why” explains the importance of the step (example: emphasizing Audit Readiness (AR) controls). Job Breakdown Sheets are not intended to alter or change the processes as documented in PCM’s, SOP’s, and Enclosure 2.

Therefore, the JBS’s should have no impact or alteration on established engineered time standards.

In addition the JBS’s are not a replacement for policy, or work instructions. Therefore, the JBS’s should not be handed out to employees, or posted in work areas.

Note 3: If at any time during processing a Nuclear Weapons Related Material (NWRM) notification is received, you will then proceed processing with SOP 5200.20 Found Nuclear Weapons Related Material (NWRM).

Note 4: In addition to the standard process, if an item is hazardous, follow the appropriate hazardous SOPs and/or if an item is classified/sensitive, follow the appropriate classified SOPs.

1. OVERVIEW:

a. A Location Survey is the verification of assets physically in location and on the recorded location data file contained in DSS. Location Surveys are a high priority requirement used to maintain accurate asset information, and they will be accomplished at each storage activity not less than once each fiscal year. Management will ensure 100 percent of all location survey sub work areas containing classified, sensitive, pilferable and RAM are surveyed each fiscal year. A sample survey of all other location survey sub work areas is required unless 100 percent inventory is conducted during the fiscal year.

b. A Location Validation is similar in nature to a location survey however, it is only initiated to ensure materiel is on record in location and all proper location/materiel markings are present. A location validation can only be conducted in lieu of a location survey when a 100 percent Annual Physical Inventory Count is planned or requested by DLA Distribution Management for the next fiscal year.

Inventory – Location Survey SOP 4140.13

c. To measure the accuracy of the results of the location survey, discrepancies will be classified in one of three categories. The three types of discrepancies are Type I (Locator Record Deleted), Type II (Locator Record Established), and Type III (Locator Record Corrected).

(1) Type I discrepancies indicate the removal or change of a locator record when there is a locator record but no physical assets.

(2) Type II discrepancies indicate that assets are physically in storage and no locator record exists, or recorded National Stock Numbers (NSN) disagree with the materiel in the location.

(3) Type III discrepancies indicate materiel physical characteristics that differ from any of the data elements displayed on the locator record.

d. The minimum approved performance rate for location surveys is 99.5 percent accurate.

DSS will automatically initiate a TPIC “K” inventory for all Type I and Type II discrepancies. The Type III discrepancies will post to the PE3U (AD HOC DISCREPANCY REPORT). AD HOC discrepancies are categorized and assigned for research by functional area.

e. Radio Frequency handheld devices must NOT be used when conducting Location Surveys.

Type I and Type II discrepancies require research prior to input.

2. INITIATING THE ANNUAL LOCATION SURVEY, RESURVEY, OR LOCATION

VALIDATION

Each DLA Distribution Center is required to prepare an annual location survey plan. This plan shall be designed to ensure 100 percent of all location survey sub work areas containing classified, sensitive, pilferable and RAM are surveyed each fiscal year. The annual Location Survey plan will be submitted to DLA Distribution J3-OD Distribution Representative and J4- BB Inventory Team no later than 30 September of each year for the next fiscal year.

Step Action Comment/Output

1 Identify the sub-work area to be surveyed by accessing CA DISPATCH report YE8B1

(SURVEY HISTORY REPORT).

See Appendix for Module 1 of the Inventory Process Manual for instructions on accessing CA–

DISPATCH.

2 Annotate the sub work area to survey.

The YE8B1 (SURVEY HISTORY REPORT) report displays the sub work area(s).

The sub work area(s) is needed to schedule the location surveys in DSS.

3 Log in to DSS to display the LEAD DSS screen.

Inventory – Location Survey SOP 4140.13

4 Navigate to TDP5 screen via DSS pathway 07-

50 and select option 5B to recalculate the sub-work area.

DSS will display the YE6D

(CALCULATE LOCATIONS

IN SUB WORK AREA) screen.

5 Before any annual surveys are scheduled for a particular sub work area, recalculate the sub work area in DSS. This is important because the number of recalculated locations could be different from the original number of locations obtained from the YE8B1 (SURVEY HISTORY REPORT) report printed at the beginning of the fiscal year.

Input the sub work area to be surveyed in the “SURV SUB WORK AREA” field.

Press ENTER.

DSS will display a refreshed

YE6D (CALCULATE

LOCATIONS IN SUB WORK

AREA) screen with the recalculated number of locations for the sub work in the “NEW

NUMBER OF LOCATIONS”

field.

Annotate the recalculated number of locations for the sub work area.

6 Follow DSS Pathway 07–50–51 DSS will display the YE6U

(REQUEST SURVEY—CRT)

screen.

7 In the “TYPE OF REQUEST” field, input one of the following:

• “1” for an annual location survey or location validation batch

• “2” for a re-survey batch

• “5” for Open a resurvey.

Press ENTER.

DSS will display a refreshed

YE6U (REQUEST SURVEY—

CRT) screen.

8 Input

• the sub work area in the “BEG SUB WORK

AREA” field

• the number of locations to survey in the

“BATCH SIZE” field, and

• “Y” in the “PRINT BATCH?” field.

Press ENTER.

DSS will display a refreshed

YE6U (REQUEST SURVEY—

CRT) screen with the message “UPDATE COMPLETED,” the number of locations, and the DSS-assigned batch number on the bottom of the screen.

The YE6V (LOCATION SURVEY LIST) report will print to the designated DSS printer.

To reprint the list, input “Y” in the “REPRINT” field for the appropriate survey batch number utilizing DSS screen YE6M

(INQ PENDING SURVEYS)

(DSS Pathway 07–50–53).

Inventory – Location Survey SOP 4140.13

9 Provide the YE6V (LOCATION SURVEY

LIST) to the employee(s) performing the location survey/location validation.

For locations surveys and resurveys, proceed to Paragraph 3

For locations validations, proceed to Paragraph

All locations should be completed within 24 hours of scheduling. This helps keep the number of Type I and Type II errors to a minimum.

3. CONDUCTING THE ANNUAL LOCATION SURVEY OR RESURVEY

1 Proceed to location.

Prior to travelling to the warehouse/location in which the work will be performed, the employee will pick up the required Personal Protective Equipment and any supplies needed to perform the work.

Proceed to sub work area.

All locations in the sub work area, beginning with the first physical location for that sub work area (not the first location on the YE6V report) will be checked.

2 Compare the materiel in the location to the YE6V list and annotate the YE6V list with the appropriate AD HOC discrepancy code, if a discrepancy exists.

Verify the following:

• Location

• NSN

• CC

• Shelf Life

• Expiration Date

• UI

• CIIC (for proper storage adherence only)

The survey process is to remove every pallet or carton from a rack or bin location, with the use of MHE or ladder stands for high locations, in order to inspect each item/carton.

For all materiel, if exterior container is factory sealed, use the container labels to verify the location survey data elements.

Inventory – Location Survey SOP 4140.13

2, con’t

If there… Then… is a Type II discrepancy

Annotate the NSN, condition code (CC), unit of issue (UI) and shelf life data (if applicable). Count the material found in location. Record the results on the YE6V. Annotate the AD-HOC discrepancy code of (“AL”) along with any other AD-HOC discrepancies found.

are discrepancies other than Type

II

the employee will record all applicable ad-hoc discrepancy codes relevant to the location.

For all locations, physically inspect the entire contents of that location for potential mixed stock. Also, physically inspect 360 degrees around inspection location for materiel that may have fallen out of location. (Do not physically inspect adjacent locations that will be surveyed separately).

A sample of enterprise wide accepted ad-hoc discrepancy codes are in the Table starting on Enclosure 8.

The employee will repeat this until the YE6V worksheet(s) has been completed.

3 Annotate and return the YE6V list to Inventory Control.

Proceed to Paragraph 5

4. CONDUCTING THE LOCATION VALIDATION

1 Proceed to location.

Prior to travelling to the warehouse/location in which the work will be performed, the employee will pick up the required Personal Protective Equipment and any supplies needed to perform the work.

Proceed to sub work area.

All locations in the sub work area, beginning with the first physical location for that sub work area (not the first location on the YE6V report) will be checked.

Inventory – Location Survey SOP 4140.13

2 Physically compare one item in the location to the YE6V list and annotate the YE6V list with the appropriate AD-HOC discrepancy code, if a discrepancy exists.

Verify the following:

• Location

• NSN

If… Then… the location is not properly marked/labeled the employee will record the AD-HOC discrepancy code (“LM”) on the YE6V for the corresponding location the materiel in the location is not marked/labeled properly the employee will record the AD-HOC discrepancy code (“US”) on the YE6V for the corresponding location materiel is in a location that is supposed to be empty

Annotate the NSN, condition code (CC), unit of issue (UI) and shelf life data (if applicable). Count the material found in location. Record the results on the YE6V.

Annotate the AD-HOC discrepancy code of (“AL”) along with any other AD-HOC discrepancies found.

validating the NSN and mixed stock is found the employee will record the AD-HOC discrepancy code (“MS”) on the

YE6V.

There is a different NSN or location is empty for the location/NSN shown on the

YE6V

the employee will record the AD-HOC discrepancy code (“NS”) on the YE6V for the corresponding location and record the data for the materiel found as an add location on the

YE6V.

The validation process is to quickly confirm the materiel is on record in the appropriate location only. It is critical to record discrepancies found during this limited survey process, especially those related to location and materiel marking and labeling.

The employee will repeat this until the YE6V worksheet(s) has been completed.

Discrepancies found when operating in an ECS or Ministacker storage environment shall be input directly into the ECS screen displayed for the location being surveyed.

Below are the definitions for the five AD-HOCs used during the Location Validation process:

• LM: LOCATION

MARKINGS MISSING OR

UNREADABLE

• US: UNIDENTIFIED STOCK

• AL: ADD LOCATION

REQUIRED

• MS: MIXED STOCK IN

LOCATION (only if found inadvertently when verifying the NSN)

• NS: NO STOCK

No other AD-HOC discrepancy codes are required to be annotated on the YE6V during the location validation process.

Inventory – Location Survey SOP 4140.13

3 Annotate and return the YE6V list to Inventory

Control.

Proceed to Paragraph 5

5. RECORD THE ANNUAL LOCATION SURVEY, RESURVEY, OR LOCATION

VALIDATION

1 All Type I and II discrepancies require research by Lead/Supervisor prior to entry to ensure they are valid additions to the stock record.

The following screens should be checked by the Lead/Supervisor to ensure the material is systemically recorded correctly.

• MICM (BIN

PLANOGRAPH BY

WAREHOUSE) screen

• MICN (RACK

PLANOGRAPH BY

WAREHOUSE) screen

• PINQ (LOCATION

INQUIRY) screen (for bulk locations)

Once research is complete, proceed to Step 2 to record results in DSS.

2 Follow DSS pathway 07-50-52.

DSS will display the YE6W

(ACCEPT LOCATION

SURVEY RESULTS) screen.

3 Input the Batch ID number from the YE6V (LOCATION SURVEY LIST) in the “BATCH ID” field.

Press ENTER.

DSS will display a refreshed

YE6W (ACCEPT LOCATION

SURVEY RESULTS) screen with the locations in the survey batch.

Inventory – Location Survey SOP 4140.13

4 Input all AD HOC discrepancy codes from the

YE6V (LOCATION SURVEY LIST) into the “1 2 3 4 5 6” field(s) for each corresponding location on the refreshed YE6W (ACCEPT LOCATION SURVEY RESULTS) screen.

If no discrepancy exists for a location, leave the fields blank.

Note: Tab from line to line until all entries have been made. DO NOT PRESS ENTER. Do not use F7 or F8 (you cannot go back if you leave this page).

5 Review the YE6W (ACCEPT LOCATION SURVEY RESULTS) screen for correct input.

Press ENTER.

DSS will display a refreshed YE6W (ACCEPT LOCATION SURVEY RESULTS) screen.

If there are . . . Then the screen will display with. . .

more locations to process additional locations.

repeat Step 4.

no more locations to process the message “ADD

LOCATIONS—OR PF2

FOR NEXT BATCH.”).

Note: Will tab from line to line until all entries have been made. DO NOT PRESS ENTER. Do not use F7 or F8 (you cannot go back if you leave this page).

6 Input all Add Location data from the YE6V (LOCATION SURVEY LIST) Report into the following fields:

• LOCATION

• STOCK NUMBER

• C/C

• “1 2 3 4 5 6” (discrepancy fields)

• QTY (quantity)

• UI

• TSC (if prompted)

Press ENTER.

DSS will display a refreshed

YE6W (ACCEPT LOCATION

SURVEY RESULTS) screen again with the message “ADD

LOCATIONS—OR PF2 FOR

NEXT BATCH,” concluding the survey process.

Each Add Record needs to be input one at a time.

7 File completed copies of YE6V (LOCATION SURVEY LIST) Report for evidential matter.

See Enclosure 7.

Inventory – Location Survey SOP 4140.13

6. CANCELLING AN ANNUAL SURVEY OR LOCATION VALIDATION

1 Follow DSS Pathway 07–50–51. DSS will display the YE6U

(REQUEST SURVEY – CRT)

screen.

2 Input option “8” in the “TYPE REQUEST” field.

Press ENTER.

DSS will display a refreshed

YE6U (REQUEST SURVEY –

CRT) screen.

3 Input the sub work area in the “BEG SUB WORK AREA” field.

Press ENTER.

After canceling the survey, reschedule the annual survey at a time when it can be completed.

Note: To ensure survey was cancelled, inquire the YE6M

(INQUIRE PENDING

SURVEYS) screen (DSS pathway 07-50-53).

7. PRINTING AN AD HOC DISCREPANCY REPORT

1 Follow DSS Pathway 18–2C. DSS will display the PRNV

(INVENTORY AND AD–HOC

REPORT SELECTOR) screen.

2 Input:

• “X” beside the “PE3U AD–HOC

DISCREPANCY (REPRINT)” field

• Desired date in the “DATE” field (Julian date

YYYYDDD)

Press ENTER.

DSS will display a refreshed

PRNV (INVENTORY AND

AD–HOC REPORT

SELECTOR) screen with the message “PRINT ROUTED

TO_________.”

Print the PE3U AD HOC Report each working day for the prior working day(s) list of AD HOC discrepancies input.

3 Use the PE3U AD HOC Report to perform research of all discrepancies assigned to the Inventory Office.

Once the errors have been researched and corrected, remember to unfreeze the location if necessary.

To determine why the location is on the AD–HOC

DISCREPANCY REPORT

review the discrepancy code and its explanation (e.g., WM— wrong materiel, DS—damaged stock).

4 Date, sign and file completed copies of PE3U AD HOC Report for evidential matter.

See Enclosure 7.

8. INPUTS/OUTPUTS: See Enclosure 8, Additional Guidance

ENCLOSURE 3

Inventory – Location Survey SOP 4140.13

ENCLOSURE 3

LOCATION SURVEY SOP FLOWCHART

This Enclosure Intentionally Left Blank

ENCLOSURE 4

Inventory – Location Survey SOP 4140.13

ENCLOSURE 4

FOR FUTURE USE

This Enclosure Intentionally Left Blank

ENCLOSURE 5

Inventory – Location Survey SOP 4140.13

ENCLOSURE 5

REGULATIONS

• DOD 4140.1-R, Supply Chain Materiel Management Regulation

• DOD 7000.14-R, Financial Management Regulation (FMR) (Volume 4, Chapter 4)

• DOD 7000.14-R, Financial Management Regulation (FMR), (Volume 5, Chapter 28)

• OMB Circular A-123, Management’s Responsibility for Internal Control

• DLM 4000.25 Vol 2, Defense Logistics Management Standards (DLMS) Supply Standards and

Procedures, (Chapter 6, Physical Inventory Controls and Chapter 7, Inventory Adjustments)

• DLAI 4000.02 Physical Inventory Control Process (PICP)

• DLAI 4140.01 Inventory Records Management Process

• DLAI 5000.65, Financial Liability for Property and Equipment that is Lost

• DLAI 1122, Financial Liability Investigation of Property Loss (FLIPL) for Supply

System Materiel

ENCLOSURE 6

Inventory – Location Survey SOP 4140.13

ENCLOSURE 6

GOLD DOCUMENTATION

They are available to users with Common Access Card authorization on SharePoint on the following link:

https://sharepoint.distribution.dla.mil/sites/distribution_process_planning/Stand/Standardiz ation/Forms/AllItems.aspx?RootFolder=%2Fsites%2Fdistribution%5Fprocess%5Fplannin g%2FStand%2FStandardization%2FInventory%2FGold%20Documents

• IN-LSI-0052 Location Survey Inventory (LSI)

• IN-RAI-0059 Inventory – Reports & Inquiries

• IN-CST-0056 Process Causative

• IN-BTB-0057 Process Book to Book

• IN-GWC-0053 Global Weight & Cube Maintenance & Inquiries

• IN-LAM-0058 Inventory – Load and Maintain

• IN-LAM-0132 Master Load and Maintain – Item Data

• IN-DNL-0055 Process Denials

• IN-PFI-0051 Perform Inventory https://sharepoint.distribution.dla.mil/sites/distribution_process_planning/Stand/Standardization/Forms/AllItems.aspx?RootFolder=%2Fsites%2Fdistribution%5Fprocess%5Fplanning%2FStand%2FStandardization%2FInventory%2FGold%20Documents https://sharepoint.distribution.dla.mil/sites/distribution_process_planning/Stand/Standardization/Forms/AllItems.aspx?RootFolder=%2Fsites%2Fdistribution%5Fprocess%5Fplanning%2FStand%2FStandardization%2FInventory%2FGold%20Documents https://sharepoint.distribution.dla.mil/sites/distribution_process_planning/Stand/Standardization/Forms/AllItems.aspx?RootFolder=%2Fsites%2Fdistribution%5Fprocess%5Fplanning%2FStand%2FStandardization%2FInventory%2FGold%20Documents

ENCLOSURE 7

Inventory – Location Survey SOP 4140.13

ENCLOSURE 7

RECORD RETENTION REQUIREMENTS

The Defense Logistics Agency has a requirement to maintain specific documentation related to each Standard Operating Procedure as either evidential matter for the purpose of Audit Readiness, and/or as directed by governing policies and regulations. The following requirements annotated below will be strictly adhered to for each process:

Document/Form Name

Document/Form Number

Retention Method (Electronic and/or Hard Copy, designated system etc.)

Record Retention Requirement

(Years/Months)

1. Survey History

Report YE8B1 Electronic, DACS-RM 10 years

2. Location Survey List

YE6V Electronic, DACS-RM 10 years

3. Location Validation List

YE6V Hard Copy 2 years

4. AD HOC

Discrepancy Report

PE3U Electronic, DACS-RM 10 years

5.

6.

7.

8.

Governing Requirement

1. NARA GRS 1.1, DLA Records Schedule 4140 2.

3.

4.

5.

*DLA HQ is in the process of updating the DLA records schedule.

Check governing requirements yearly for any records retention changes/updates IAW NARA and the DLA Records Schedule

ENCLOSURE 8

Inventory – Location Survey SOP 4140.13

ADDITIONAL GUIDANCE

INPUTS

YE6V LOCATION SURVEY LIST

YE8B1 Location Survey History Report

Inventory – Location Survey SOP 4140.13

Annotated YE6V (LOCATION SURVEY LIST)

Inventory – Location Survey SOP 4140.13

OUTPUTS

a. TPIC ‘K’ inventory (type I & II discrepancies)

b. AD-HOC discrepancy report (PE3U)

PE3U AD-HOC Discrepancy Report

Inventory – Location Survey SOP 4140.13

Ad Hoc Discrepancy Codes

Code

Description of Code

Error

AL Add Location Required II BL Label Cannot Be Scanned or Read III BS Improper Stacking III CC Condition Code Missing or Suspect III CI Controlled Item Stored in Uncontrolled Area III CS Catalog Data Suspect III DL Delete Location Required III DM Damaged Location III DS Damaged Stock III FF Automatic Freeze Flag Added by Various Programs III FL Marks Bulk Location Full III HC Honeycombing III HW Handwritten on Stock (No Positive ID) III HZ Update MSDS and HCC Codes III IC Unit of Issue Repacking Required III IM Illegible Marking on Stock III IS Inspection Required III

LM Location Markings Missing or Unreadable III MC Missing Stock Change Card (DA2100) III MD Manufactured/Pack Date III MG Manager Suspect III ML Unnecessary Multiple Locations III MM Misidentified Material III MS Mixed Stock in Location III MW MWO Suspect III NS No Stock I OB Opened Container Without Label III PC Requires Pallet Count Card III PP P&P Required III

Inventory – Location Survey SOP 4140.13

Code

Description of Code

Error

PU P&P Required for UII Missing/Illegible III RC Recoverability Code Suspect III SC Special Control Item Suspect III SI Missing Set Identification Item III SL Shelf Life Code Missing or Suspect III SP Standard Price Suspect III TS Type Storage Suspect III UF Freeze Flag Removed III UI Unit of Issue Missing or Suspect III UL Unsafe Location III UO UII Has Different Owner III UR Reserved, No Other UIIs Available III US Unidentified Stock III UT UII Missing or Suspect III UX UII Status is History III WC Wrong Count (Overages/Shortages) III WM Wrong Material III XX Default Discrepancy—Nonspecific Condition III ZB Zero Balance III

ENCLOSURE 9

Inventory – Location Survey SOP 4140.13

GLOSSARY (ACRONYMS AND DEFINITIONS)

DLA In Use Acronyms AMCL Approved MILSTRIP Change Letter AO Accountable Officer AOD Area Oriented Depot CAV Consolidated Adjustment Voucher CC Condition Code CCN Carton Control Number CFO Chief Financial Officer CIIC Controlled Inventory Item Code CMD Catalog Management Data CONUS Continental United States COSIS Care of Supplies in Storage CR Causative Research CWT Customer Wait Time D&W Dimension and Weight DAAS Defense Automatic Addressing System DAASC Defense Automatic Addressing System Center DC Distribution Center or Discrepancy Code DEMIL Demilitarization DIC Document Identifier Code DLA Defense Logistics Agency DLIS Defense Logistics Information Service DNA Defense Nuclear Agency DOD Department of Defense DODAAC DOD Activity Address Code DODAAF DOD Activity Address File DOLI Date of Last Inventory DNA Defense Nuclear Agency DRMO Defense Reutilization and Marketing Office DRO Disposal Release Order DSS Distribution Standard System ECC Error Classification Code FLIPL Financial Liability Investigation of Property Loss FLIS Federal Logistics Information System FMS Foreign Military Sales FTR Frustrated Transaction Record GIM Gaining Inventory Manager GLAC General Ledger Account Codes GSA General Service Administration

Inventory – Location Survey SOP 4140.13

DLA In Use Acronyms HCC Hazard Characteristic Code IAV Inventory Adjustment Voucher ICOD Inventory Cut-Off Date ICP Inventory Control Point IDC Item Data Correction IDR Inventory Denial Record IDX Inventory Denial Record IERL Inventory Evaluation Research Listing IFR Issue From Receiving ILCO International Logistics Control Office IMM Integrated Materiel Manager ISA Interservice Support Agreement ISDR Incoming Supply Discrepancy Report LF Location is Frozen LICN Local Inventory Control Number LOGRUN Logistics Remote Network LOLMGT Logistics Online Management LSN Local Stock Number MFR Memorandum for the Record MGR-RIC Manager Routing Identifier Code MILSTRAP Military Standard Transaction Reporting and Accounting Procedure MILSTRIP Military Standard Requisition and Issue Procedure MRO Materiel Release Order MRR Materiel Reject Record MSC Major Subordinate Command MSDS Materiel Safety Data Sheet NACI National Agency Check With Inquiries NICN Naval Inventory Control Number NIIN National Item Identification Number NSN National Stock Number OCONUS Outside Continental United States PCN Pick Control Number or Putaway Control Number PDO Property Disposal Office POC Point of Contact PPP&M Preservation, Packaging, Packing, and Marking QBD Quantity by Location Detail QBG Quantity by Global QBL Quantity by Location QBO Quantity by Owner QLR Quantitative Location Reconciliation RA Reviewing Authority RCP Recycling Control Point RDO Redistribution Order

Inventory – Location Survey SOP 4140.13

Term Definition

AD-HOC

Discrepancy Code

Indicates the type of discrepancy identified during the Location Survey process and is categorized by functional area, i.e., warehousing, inventory, COSIS, etc.

Annual Location Survey

The Location Survey is a verification of assets other than an actual physical count, physically in location and on the recorded location data file contained in DSS. The DOD requirement is to survey all locations at a Distribution Center at least once annually. A qualifying physical inventory of all locations satisfies the requirement of an annual location survey.

Batch ID number Consists of year, Julian date, serial number and a one-position character identifying the type of survey conducted.

Bound Error: Margin of error, will be within +/- 4%.

DLA In Use Acronyms RF Radio Frequency RIC Routing Identifier Code SA Security Assistance SAAR System Authorization Access Request SAD Set Assembly Detail SAMMS Standard Automated Material Management System SAR System Acquisition Request SDR Supply Discrepancy Report SIC Stock Identifier Code SL Shelf Life SLC Shelf Life Code SOS Source of Supply SURC Shipment Unit Route Code SYM Sympathetic TCN Transportation Control Number TPIC Type Physical Inventory Code TSC Type Storage Code UC Use Control UF Location is Unfrozen UI Unit of Issue UID Unique Identification UIT Unique Item Tracking UM Unit of Measure USC Using Service Code USC-I Using Service Code Integrated USC-L Using Service Code Lead VA Veterans Administration VO Visit Occurrence WebSDR Web Supply Discrepancy Report

Inventory – Location Survey SOP 4140.13

Term Definition CA-DISPATCH: CA-Dispatch Output Management is an online, interactive report distribution management system designed to reduce paper consumption and increase efficiency of report distribution. You can limit report printing to the pages requested by the end user and group smaller reports into bundles according to class and/or destination.

Location Validation

A Location Validation is similar in nature to a location survey however, it is only initiated to ensure materiel is on record in location. A location validation can only be conducted in lieu of a location survey when a 100 percent Annual Physical Inventory Count is planned or requested by DLA Distribution Management for the next fiscal year

Resurvey: Conducted when an annual survey has multiple errors, after rewarehousing projects are completed, or in areas where there are a large number of denials, inventory adjustment vouchers (IAV), or incoming Supply Discrepancy Reports (iSDR).

Sub-work Area: Identifies a specific parameter of warehouse locations and is assigned by DSS at the beginning of the fiscal year.

Wall to Wall: As defined in the dictionary, wall-to-wall means the area filling one entire space. In storage and distribution, wall-to-wall refers to all storage spaces within the entire storage facility; this includes any area where materiel is sitting on floor, even if not a designated "storage space". It also includes storage outside the building but still within the confines of the warehousing responsibility. Exclusions would be any space, such as office or bathrooms that are not used to store materiel that should be on record.