Attachment 4 - J.6 CDRLs.pdf

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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

1_DATA_ITEM_NO: A003

2_TITLE_OF_DATA_ITEM: Electrostatic Discharge (ESD) Control Program

3_SUBTITLE:

4_AUTHORITY_Data_Acquisit:

5_CONTRACT_REFERENCE: J.1 Paragraph C-1.7

6_REQUIRING_OFFICE: DLA Distribution J-7

7_DID_250_REQ: See Block 16

8_APP_CODE:

DIST_STATEMENT: B

10_FREQUENCY: See Block 16

11_AS_OF_DATE: N/A

12_DATE_OF_FIRST_SUBMISSI: See Block 16

13_DATE_OF_SUBSEQUENT_SUB: See Block 16 addressee1: J7 Contract Spce draft1:

reg1: 1 repro1:

addressee2: COR draft2:

reg2:

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16_REMARKS: Tailored to permit contractor's format. Submit electronically

Submit NLT 30 days prior to the start of full performance, an ESD Control Program document that details the Contractor's process to ensure all regulatory requirements are followed; ensure all personnel who handle and process ESDS material are fully trained; and coordination of any audits that may be performed by other government agencies, manufacturers and users of ESDS material.

The ESD Program shall address the Contractor’s approach to conform to MIL-STD 1686, Electrostatic Discharge Control Program for Protection of Electrical and Electronic Parts, Assemblies and Equipment (Excluding Electrically Initiated Explosive Devices) and requirements addressed in C-1.7.

Updates or revisions to the contractors plan that address the process for ensuring all regulatory requirements are followed shall be submitted within 30 calendar days of the change.

Block 7 - Inspection and acceptance requirements:

The KO will review and accept the ESD Program and updates after coordination with J-4 Policy & Procedures and J-3 Depot Operations review and comments.

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

17_PRICE_GROUP:

ESTIMATED_TOTAL_PRICE:

G_PREPARED_BY:

H_DATE:

1_APPROVED_BY:

J_DATE:

Page: 1 reg38t: 1

A_CONTRACT_LINE_ITEM_NO:

B_EXHIBIT: Attachment J.11

TDP:

TM:

OTHER:

DSYSTEMITEM:

E_CONTRACTPR_NO:

FCONTRACTOR:

of_pages: 1

Reset:

2018-10-29T15:47:11-0400

CRUSEY.SHANE.M.1287981151

2019-02-13T13:52:00-0500

POWERS.CULLEN.MARTIN.1093893227

Floor to Book Haphazard 2% Directed Program

F2B Counter Name QBL Verifier Name (Supervisor/Leader)

TPIC M Entry Name (Inventory)

Date Date Date

F2B Counter User ID QBL Verifier User Id

TPIC M Entry User ID

F2B Counter QBL Verifier QBL Verified

Inventory TPIC M Entry

Time of Count

Bldg/Lot # Location NSN Unit of Issue Condition

Code Count in Location

DSS QBL Qty 1st Count/QBL Match (Y or N)

TPIC M Created (Y or N) Inventory Cut-Off Date

Signature Field Signature Field Signature Field

Webb, John F CTR DLA DISTRIBUTION (US)

Floor to Book Haphazard 2% Directed Program

F2B Counter Name

QBL Verifier Name

(Supervisor/Leader)

TPIC M Entry Name

(Inventory)

Date

Date

Date

F2B Counter User ID

QBL Verifier

User Id

TPIC M Entry

User ID

F2B Counter

QBL Verifier

QBL

Verified

Inventory TPIC M

Entry

Time of

Count

Bldg/Lot #

Location

NSN

Unit of Issue

Condition

Code

Count in

Location

DSS QBL Qty st

Count/QBL

Match (Y or N)

TPIC M Created (Y or N)

Inventory Cut-Off Date

Signature Field

Signature Field

Signature Field

DateTimeField1:

TextField2:

DateTimeField2:

TextField5:

F2B Counter:

QBL Verifier:

Inventory TPIC M Entry:

Time of Count_Row_1:

Bldg/Lot #_Row_1:

Location_Row_1:

NSN_Row_1:

Unit of Issue_Row_1:

Condition Code_Row_1:

Count in Location_Row_1:

DSS QBL Qty_Row_1:

1st Count/QBL Match (Y or N)_Row_1:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_1:

Time of Count_Row_2:

Bldg/Lot #_Row_2:

Location_Row_2:

NSN_Row_2:

Unit of Issue_Row_2:

Condition Code_Row_2:

Count in Location_Row_2:

DSS QBL Qty_Row_2:

1st Count/QBL Match (Y or N)_Row_2:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_2:

Time of Count_Row_3:

Bldg/Lot #_Row_3:

Location_Row_3:

NSN_Row_3:

Unit of Issue_Row_3:

Condition Code_Row_3:

Count in Location_Row_3:

DSS QBL Qty_Row_3:

1st Count/QBL Match (Y or N)_Row_3:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_3:

Time of Count_Row_4:

Bldg/Lot #_Row_4:

Location_Row_4:

NSN_Row_4:

Unit of Issue_Row_4:

Condition Code_Row_4:

Count in Location_Row_4:

DSS QBL Qty_Row_4:

1st Count/QBL Match (Y or N)_Row_4:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_4:

Time of Count_Row_5:

Bldg/Lot #_Row_5:

Location_Row_5:

NSN_Row_5:

Unit of Issue_Row_5:

Condition Code_Row_5:

Count in Location_Row_5:

DSS QBL Qty_Row_5:

1st Count/QBL Match (Y or N)_Row_5:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_5:

Time of Count_Row_6:

Bldg/Lot #_Row_6:

Location_Row_6:

NSN_Row_6:

Unit of Issue_Row_6:

Condition Code_Row_6:

Count in Location_Row_6:

DSS QBL Qty_Row_6:

1st Count/QBL Match (Y or N)_Row_6:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_6:

Time of Count_Row_7:

Bldg/Lot #_Row_7:

Location_Row_7:

NSN_Row_7:

Unit of Issue_Row_7:

Condition Code_Row_7:

Count in Location_Row_7:

DSS QBL Qty_Row_7:

1st Count/QBL Match (Y or N)_Row_7:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_7:

Time of Count_Row_8:

Bldg/Lot #_Row_8:

Location_Row_8:

NSN_Row_8:

Unit of Issue_Row_8:

Condition Code_Row_8:

Count in Location_Row_8:

DSS QBL Qty_Row_8:

1st Count/QBL Match (Y or N)_Row_8:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_8:

Time of Count_Row_9:

Bldg/Lot #_Row_9:

Location_Row_9:

NSN_Row_9:

Unit of Issue_Row_9:

Condition Code_Row_9:

Count in Location_Row_9:

DSS QBL Qty_Row_9:

1st Count/QBL Match (Y or N)_Row_9:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_9:

Time of Count_Row_10:

Bldg/Lot #_Row_10:

Location_Row_10:

NSN_Row_10:

Unit of Issue_Row_10:

Condition Code_Row_10:

Count in Location_Row_10:

DSS QBL Qty_Row_10:

1st Count/QBL Match (Y or N)_Row_10:

TPIC M Created (Y or N) Inventory Cut-Off Date_Row_10:

SignatureField1:

SignatureField2:

SignatureField3:

TextField1:

TextField3:

TextField4:

TextField6:

DateTimeField3:

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

DD FORM 1423-1, FEB 2001 Page 2of 2

The Contractor’s MECSP shall address at a minimum the following:

1. Potential impacts caused by each type of adverse situation.

2. Primary issues.

3. Strategy for response.

4. Primary and alternate points of contact.

5. Communication and coordination with the Government.

6. Process to achieve recovery and resumption of full service.

7. Approach to recruitment and hiring of personnel (i.e., temporary labor) on short notice.

8. Assessment of the local labor market and the Contractor’s ability to hire qualified personnel.

9. Process to be used to hire personnel to include timing of offers, length the offer remains open, any contingencies and start dates. Critical skills and transactional systems knowledge required to maintain performance and contingency for immediate loss of skills and knowledge.

10. Development of a contingent workforce (both management and labor) that has the requisite knowledge, skills, abilities, and applicable licenses and qualifications to perform the workload.

11. Strategy for maintaining a trained workforce in Distribution Operations, DSS and all other transactional data systems required for contingency operations.

12. Strategy for ensuring the contingent workforce is familiar and shall address the Contractor's methodology and processes for assessing the situation, determining the appropriate response, achieving recovery, and meeting performance standards when there is a disruption in normal workload I.A.W.

PWS Paragraph C-1.9.2

1_DATA_ITEM_NO: A004

2_TITLE_OF_DATA_ITEM: Continuation Of Essential Contractor Services

3_SUBTITLE: Mission Essential Contract Services Plan (MECSP)

4_AUTHORITY_Data_Acquisit: N/A

5_CONTRACT_REFERENCE: Attachment J.1, Paragraph C-1.9

6_REQUIRING_OFFICE: DLA Distribution J-7

7_DID_250_REQ: See Block 16

8_APP_CODE:

DIST_STATEMENT: B

10_FREQUENCY: See Block 16

11_AS_OF_DATE: N/A

12_DATE_OF_FIRST_SUBMISSI: See Block 16

13_DATE_OF_SUBSEQUENT_SUB: See Block 16 addressee1: J-7 Contract Spec draft1:

reg1: 1 repro1:

addressee2: COR draft2:

reg2:

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16_REMARKS:

Tailored to permit contractor's format. Submit electronically

The MECSP updates shall be submitted NLT 30 days prior start of full performance if required and be complimentary to the distribution sites Continuity of Operations (COOP) and Emergency Action (EAP) Plans.

Submit the information identified in the table on page 2 as changes occur to the COOP and EAP or at minimum on a annual basis.

Subsequent submissions shall be submitted when the Contractor updates or revises the MECSP within 30 calendar days of the change.

Block 7 - Inspection and acceptance requirements:

The KO will review and accept the MECSP updates after coordination with COR and J-3 Depot Operations review and comments.

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

Block I - Approved By - Signature of Government official accepting the Contractor's reporting requirements of this CDRL will be the the KO.

17_PRICE_GROUP:

ESTIMATED_TOTAL_PRICE:

G_PREPARED_BY:

H_DATE:

1_APPROVED_BY:

J_DATE:

Page: 1 reg38t: 1

A_CONTRACT_LINE_ITEM_NO:

B_EXHIBIT: Attachment J.11

TDP:

TM:

OTHER:

DSYSTEMITEM:

E_CONTRACTPR_NO:

FCONTRACTOR:

of_pages: 2

Reset:

2021-05-24T08:30:14-0400

POWERS.CULLEN.MARTIN.1093893227

2021-05-24T07:19:36-0400

TORNER.MICHAEL.D.1228971592

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

Customer MIPR Number Work Description ION HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost

Customer MIPR Number Work Description ION HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost HRS Material Cost

Attachment 1

Jul __ Aug __ Sep __ Yearly TotalApr __ May __ Jun __Customer

Feb __ Mar __Customer Oct __ Nov __ Dec __ Jan __

1_DATA_ITEM_NO: A005

2_TITLE_OF_DATA_ITEM: Internal Order Number (ION) Reporting

3_SUBTITLE:

4_AUTHORITY_Data_Acquisit:

5_CONTRACT_REFERENCE: J1 PWS Paragraph C-4.5

6_REQUIRING_OFFICE: DLA Distribution J-7

7_DID_250_REQ: See block 16

8_APP_CODE:

DIST_STATEMENT: B

10_FREQUENCY: See Block 16

11_AS_OF_DATE: N/A

12_DATE_OF_FIRST_SUBMISSI: See Block 16

13_DATE_OF_SUBSEQUENT_SUB: See Block 16 addressee1: J7 KO draft1:

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16_REMARKS: Submit electronically.

IAW Section G-4 - Invoicing Instructions - submitted not later than the tenth (10th) working day of each month covering the previous month's charges inclusive of all final subcontractor billings for the prior month.

Complete the following attachments:

Attachment 1 - Contractor Labor and Material Costs by Internal Order Number

(ION)

Block 7 - Inspection and acceptance requirements:

The COR will review and accept CDRL A005.

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

17_PRICE_GROUP:

ESTIMATED_TOTAL_PRICE:

G_PREPARED_BY:

H_DATE:

1_APPROVED_BY:

J_DATE:

Page: 1 reg38t: 1

A_CONTRACT_LINE_ITEM_NO:

B_EXHIBIT: Attachment J.11

TDP:

TM:

OTHER:

DSYSTEMITEM:

E_CONTRACTPR_NO:

FCONTRACTOR:

of_pages: 1

Reset:

2018-10-29T15:49:06-0400

CRUSEY.SHANE.M.1287981151

2019-02-13T13:53:02-0500

POWERS.CULLEN.MARTIN.1093893227

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

1_DATA_ITEM_NO: A007

2_TITLE_OF_DATA_ITEM: Customer Service Support Procedures/On-Call Response Roster

3_SUBTITLE:

4_AUTHORITY_Data_Acquisit:

5_CONTRACT_REFERENCE: J1 PWS Paragraph C-5.1.5

6_REQUIRING_OFFICE: DLA Distribution J-7

7_DID_250_REQ: See Block 16

8_APP_CODE:

DIST_STATEMENT: B

10_FREQUENCY: See Block 16

11_AS_OF_DATE: N/A

12_DATE_OF_FIRST_SUBMISSI: See Block 16

13_DATE_OF_SUBSEQUENT_SUB: See Block 16 addressee1: J7 Contract Spec draft1:

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16_REMARKS: Tailored to permit contractor's format. Submit electronically

Submit customer service plan and support procedures not later than 30 calendar days prior to the end of the phase-in period that address at the minimum the following:

1. Customer service hours, location(s) and directions to customer service office(s) and contractor specific instructions to customers and an on-call response roster IAW C-5.1.5.

2. System for communicating with customers and obtaining feedback.

3. System for tracking the receipt, progress, and resolution of customer complaints.

4. Methods for identifying customer needs and expectations and implementing them throughout the workforce.

5. Methods for measuring customer satisfaction.

6. Establishment of a customer satisfaction reporting system.

7. Samples of all documents that will be used for customer satisfaction actions.

8. Methods of direct and indirect, formal and informal communications with the Government regarding customer satisfaction.

Subsequent submissions shall be submitted when the Contractor updates or revises the customer service plan and support procedures or on-call response roster within 2 working days of the change.

Block 7 - Inspection and acceptance requirements:

The KO will review and accept the customer service plan and support procedures and updates after coordination with the J-3 Depot Operations review and comments.

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

Once accepted by the KO, the Contractor shall make the procedures available to all customers in writing.

17_PRICE_GROUP:

ESTIMATED_TOTAL_PRICE:

G_PREPARED_BY:

H_DATE:

1_APPROVED_BY:

J_DATE:

Page: 1 reg38t: 1

A_CONTRACT_LINE_ITEM_NO:

B_EXHIBIT: Attachment J.11

TDP:

TM:

OTHER:

DSYSTEMITEM:

E_CONTRACTPR_NO:

FCONTRACTOR:

of_pages: 1

Reset:

2018-10-29T15:53:11-0400

CRUSEY.SHANE.M.1287981151

2019-02-13T14:10:12-0500

POWERS.CULLEN.MARTIN.1093893227

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

Page of Pages DDD

X007 Attachment J.11

A008 Annual FY Inventory Improvement Action Plan

Attachment J.1, Paragraph C-5.4 DLA Distribution J-7

See Block 16

B

N/A

J7 Contract Spec 1

COR 1

0 1 1

Tailored to permit contractor's format. Submit electronically

Submissions by 30 September of each year covering the next fiscal year for:

1. Actions to be taken to improve inventory accuracy obtaining/sustaining 98% Inventory accuracy and addressing

a) Achieving and sustaining year over year improvement in the reduction of cumulative aggregate dollar value and inventory adjustments

b) Achieving at least a 50% reduction of the cumulative aggregate dollar value of adjustments from previous FY cumulative aggregate dollar value of adjustments

c) Achieving at least a 50% reduction of the aggregate number of adjustments from the previous FY aggregate number of adjustments

2. Approach for completing the Cyclic Book to Floor (B2F) Inventory counts to include:

a) What best practices are to be used

b) Correcting/Updating location placards, labels, warehouse floor markings and painting outside bulk area location markings

c) All locations planograph in DSS

d) All distribution work completed IAW standard processes, ensuring all employees are working the same way, the right way, and are held accountable

3. Location surveys to be performed each month IAW C-5.4.6, The Contractor shall provide justification for deviating from the submitted plan and Location Survey schedule to the COR by the 2nd working day of each month.

Block 7 - Inspection and acceptance requirements:

The KO will review and accept the plan after evaluation by the Government, which include members from the On-Site Staff, J3 Audit Readiness, J3 Operations, J-4 Inventory and J7 Acquisition Management Offices.

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

1 1

EISENHOUR.JENNIFE

R.L.1364950400

Digitally signed by

EISENHOUR.JENNIFER.L.1364950400

Date: 2021.03.03 07:46:37 -05'00'

BOOTH.UNES.AARO

N.1109050845

Digitally signed by

BOOTH.UNES.AARON.1109050845

Date: 2021.03.23 08:53:17 -04'00'

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

- Audit assertion reports are based on the Distribution Center’s [future] ability to pass audit for the upcoming month. For example, reports due prior to the end of September shall assert to the Contractor's ability to pass audit during the forthcoming month (October).

- 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.

- All Contractor required audit assertion reports are supported by existing monitoring and surveillance programs and systems the Contractor is currently using in accordance with the contract to monitor performance, identify shortfalls and deficiencies, determine root causes, and develop and execute corrective action plans to mitigate risk and resolve deficiencies.

- Contractor audit assertion reports provide a summary level assessment by the Contractor’s senior managers and subordinate managers and supervisors using data and information from these existing monitoring and surveillance programs.

- The Contractor's senior managers (Site and Alternate Site Manager) shall assert monthly that their assigned areas of responsibility are ready for audit (can assert) OR their areas of responsibility are not ready for audit (cannot assert or can only somewhat assert) using the report at attachment 1. For an area the senior manager reports that they are not ready for audit, the Contractor will be required to identify the audit shortfall and reference an existing Corrective Action Plan (CAP) in the Quality Management Tool (QMT) that is being executed to correct that deficiency. If there is not an existing CAP, the contractor will initiate a self-identified CAP in the QMT.

- The Contractor’s senior managers will designate a minimum of one subordinate manager or supervisor responsible for each functional area to submit a manager/supervisor report using attachment 2. For those areas the manager or supervisor asserts they are not ready for audit, the manager or supervisor will identify the shortfall and any initial corrective actions on the manager/supervisor report and be prepared to submit a Corrective Action Pan (CAP) if required by their management. If the shortfall is documented on an existing CAP in the QMT, the subordinate manager or supervisor shall reference it.

- Every senior manager, subordinate manager, and supervisor shall remain responsible and accountable for their results, to include the results of any audits conducted by external activities within their area(s) of responsibility.

- Attachments 1 and 2 are the active audit assertion reports for senior managers, subordinate managers, and supervisors. The format and content of these audit assertion reports may be revised by the Government to improve communication or refocus priorities on any DLA business cycle, area of responsibility, process, or functional area referenced in the contract. Changes to these forms will be provided to the Contractor through routine communication channels.

- Attachment 3, identifies the active audit control objectives for FY21. The Government will update their audit control objectives annually (or as needed) and provide them to the Contractor through routine communication channels. The contractor shall use the active control objectives to help determine if they are ready for audit.

- The Government encourages the use of Attachment 4, Sample Assertion Checklist (can be modified or Contractor developed) to use as EM to support each supervisor’s and manager’s assertion status. The checklists shall remain internal to the Contractor and On-site Government Personnel for reference for future testing.

- The audit assertion reports shall be signed by each supervisor and manager and a consolidated package of the reports in a functional format shall be provided to the COR NET seven (7) and NLT five (5) business days prior to the end of the month.

- Block 7 - Inspection and acceptance requirements: The COR and Distribution Center Leadership will review and accept the monthly audit assertion memos and submit to DLA Distribution.

- Block 14 - Distribution - Contractor to submit original to COR using the below attachments or updated/revised attachments provided by the Government. CDRL will not be modified for revised/updated forms.

Attachment 1 – CTR DC Audit Assertion Report for Site and Alternate Site Managers Attachment 2 – CTR DC Audit Assertion Report for Subordinate Managers Supervisors Attachment 3 – Control Objectives and Risks Attachment 4 – Sample Assertion Checklist yw06110

Highlight yw06110

DUB0000

DUB0000

Functional Area Can Assert

Can Somewhat

Assert Cannot

Not Applicable

QMT

CAP

OFFLOAD/TALLY

RECEIPT/INDUCTION

STOW/WAREHOUSING

REWAREHOUSING

STOCK SELECTION (PICK/PACK/PREP)

COSIS PROCESSES

PPP&M

PHYSICAL INVENTORY

TRANSPORTATION

RETAIL

(Insert DC Acronym)Distribution Center Name:

Assertion Month:

Site Manager Name:

Alternate Site Manager Name:

OVERALL DISTRIBUTION CENTER ASSERTION:

In support of FY21 Financial Audit, the Distribution Center Contract Management Team reports the following level of assertion:

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

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

• (Cannot Assert) Adverse – No assurance

FUNCTIONAL AREA ASSERTIONS:

REVIEW the functional areas below and SELECT the level of assertion for that area to pass an upcoming audit using the definitions above. It is expected your assertion will be based, in part, on the inputs received from your functional area manager and supervisor assertions.

o Site Managers or Alternate Site Managers are REQUIRED to confirm an existing CAP or ensure a Chance

Discovery CAP is opened in the Quality Management Tool (QMT) for all functional area ratings of Can Somewhat Assert and Cannot Assert. SELECT the response (yes/no) below indicating whether or not a CAP is entered into the QMT.

Submission Date:

OVERALL DC ASSERTION: CAN SOMEWHAT ASSERT CANNOT ASSERTCAN ASSERT

Version 2.0 (as of 3/12/21)

DLA Distribution HQ

DC AUDIT ASSERTION PROGRAM

CONTRACTOR Site Manager/Alt Site Manager

X X Alternate Site Manager

ASSERTION SIGNATURE: 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 Management's Description of the System (MDS) Control Objectives and Control Activities (in SOPs) as they relate to the Internal Controls Audit for service owned items in DLA Custody.

Instruc tion:

Due By:

Return to:

PRIORITIES AND FOCUS AREAS:

IDENTIFY the Contract Team's top 3 priorities/focus areas to address assertion gaps to sustain a can assert level of audit readiness at the Distribution Center.

Priority/Focus Area 1:

Priority/Focus Area 2:

Priority/Focus Area 3:

Site Manager

Version 2.0 (as of 3/12/21)

DLA Distribution HQ

DC AUDIT ASSERTION PROGRAM

CONTRACTOR Site Manager/Alt Site Manager

As the CONTRACTOR - Site Manager/Alternative Site Manager, you are required to complete a monthly DC Audit Assertion for the Distribution Center under your supervision and submit all assertions, including CONTRACTOR functional area manager or supervisor assertions, to your designated Contractor POC.

Monthly assertions (for the current month) are due NLT 5 business day before the end of each month.

Designated Contractor POC for consolidation and submission requirements.

Please do not print and scan assertion forms. Save the completed PDF assertion form to your computer and return original to the designated Contractor POC.

SIGNATURES

Assertion Month: [ ]

Date Of Submission_af_date:

Commander/Director Name:

Deputy Name:

DC Name (Acronym):

Offload: Off

Receipt: Off

CAP-PPP&M: [NO]

CAP-Physical Invet: [NO]

CAP-Transportation: [NO]

CAP-Retail: [NO]

Stow/Warehousing: Off

CAP-COSIS: [NO]

CAP-Rewarehouse: [NO]

CAP-Offload: [NO]

CAP-Receipt: [NO]

CAP-Stow: [NO]

CAP-Stock Selection: [NO]

Rewarehousing: Off

Stock Selection: Off

COSIS: Off

PPP&M: Off

Physical Inventory: Off

Transportation: Off

Retail: Off

Priority #1:

Priority #2:

Priority #3:

OVERALL: Off

CONTRACTOR - SM/ASM: Command-Level Assertion

Save Form: SAVE FORM

DLDLA Distribution HQ

DDC AUDIT ASSERTION PROGRAM

CONTRACTOR Functional Area Manager and Supervisor

FuntionallArea Can Assert

Can Somewhat

Cannot

Not Applicable

(Insert DC Acronym)Distribution Center Name:

Assertion Month: Name

Name of Person Signing Form:

Position Title / Role:

FUNCTIONAL AREA ASSERTIONS:

SECTION I: REVIEW the functional areas below and SELECT the level of assertion for that area to pass an upcoming audit using the definitions below. It is expected your assertion will be based, in part, on the inputs received from your direct reports.

SECTION II: For those functional areas asserts in Section I that are not ready for audit (Can Somewhat Assert and Cannot Assert), IDENTIFY the shortfall and any initial corrective actions. Be prepared to submit a Corrective Action Pan (CAP) if required by management. If the shortfall is documented on an existing CAP in the Quality Management Tool (QMT), the subordinate manager or supervisor shall reference it.

Submission Date:

Version 1.0 (as of 3/18/21)

SECTION I

ASSERTION: As of this date, I am providing the following assertion(s) for the functional area(s) under my supervision to pass the upcoming FY21 Financial Audits.

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

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

• (Cannot Assert) Adverse – No assurance

OFFLOAD/TALLY

RECEIPT/INDUCTION

STOW/WAREHOUSING

REWAREHOUSING

STOCK SELECTION (PICK/PACK/PREP)

COSIS PROCESSES

PPP&M

PHYSICAL INVENTORY

TRANSPORTATION

RETAIL

SECTION II

CONTRACTOR Functional Area Manager and Supervisor Version 1.0 (as of 3/18/21)

PHYSICAL INVENTORY- Identify and corrective actions below

Relevant Information Used tTo Make Your Determination on Assertion. IDENTIFY the shortfall and any initial corrective actions.

OFFLOAD/TALLY - Identify issue(s) and corrective actions below

RECIPT/INDUCTION - Identify issue(s) and corrective actions below

STOW/WAREHOUSING - Identify and corrective actions below

REWAREHOUSING - Identify issue(s) and corrective actions below

STOCK SELECTION - Identify issue(s) and corrective actions below

COSIS - Identify issue(s) and corrective actions below

PPP&M - Identify issue(s) and corrective actions below

X

ASSERTION SIGNATURE: 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 Management's Description of the System (MDS) Control Objectives and Control Activities (in SOPs) as they relate to the Internal Controls Audit for service owned items in DLA Custody.

Digital Signature is Preferred

SIGNATURE

Instruction:

Due By:

Return to:

As a functional area manager or supervisor, you are required to complete a monthly DC Audit Assertion and submit to your designated Contractor POC.

The assertion shall be signed by each supervisor and manager and a consolidated package of all assertions shall be provided to the COR NLT five (5) business days prior to the end of the month.

Designated Contractor POC for consolidation and submission requirements.

CONTRACTOR Functional Area Manager and Supervisor Version 1.0 (as of 3/18/21)

Please do not print and scan assertion forms. Save the completed PDF assertion form to your computer and return original to the designated Contractor POC.

RETAIL - Identify issue(s) and corrective actions below:

TRANSPORTATION - Identify issue(s) and corrective actions below:

https://dlamil.dps.mil/:f:/r/teams/C11/N172/MFR%20for%20Assertion/Monthly%20Submissions%20By%20Distribution%20Center?csf=1&web=1&e=T8iWot

Blank Page

Date Of Submission_af_date:

Offload: Off

Receipt: Off

Stow/Warehousing: Off

Rewarehousing: Off

Stock Selection: Off

COSIS: Off

PPP&M: Off

Physical Inventory: Off

Transportation: Off

Retail: Off

Name:

Position/Title:

DC Name (Acronym):

Assertion Month: [ ]

OFFLOAD Comments:

RECEIPT/INDUCTComments:

STOW/WAREHOUSING Comments:

STOCK SELECTION Comments:

COSIS Comments:

PPP&M Comments:

REWAREHOUSING Comments:

PHYSICAL INVENTORY Comments:

Contractor-Manager and Supervisor: Command-Level Assertion

Save Form: SAVE FORM

RETAIL Comments:

TRANSPORTATION Comments:

Control Objectives and Control Activities

DLA has specified the control objectives and identified the controls activities that are designed to achieve related control objectives. The specified control objectives and related controls are presented in Table 11, “SOIDC Control Objectives and Control Activities”, and are an integral component of the description of the SOIDC system supporting the user entity.

SOIDC Controls identified by DLA with fields as described below:

• Control Objective: SOIDC Control Objective areas

• Control Number: DLA assigned Control Objective and Control Activity numbers

• Control Objective/Activity Descriptions: Description of the Control Objectives or

Control Activities.

Control Objective

Number

Control Objective/Activity Descriptions

Security Management

1 Controls provide reasonable assurance that Management has established, implemented, and monitors the DLA Information Operations Security Management program.

1.1 DSS PMO has implemented and documented a security management plan that aligns and adheres to DLA J6 Information Operations security management program and reviewed annually.

1.2 DSS PMO has implemented, maintains, and adheres to the DLA Risk Management Framework (RMF) in accordance with the DoD 8510.01. DSS PMO security management controls are implemented in accordance with National Institute of Standards and Technology (NIST) and DoD Knowledge Service (KS).

1.3 The DLA Authorizing Official (AO) signs the DSS Authority to Operate (ATO) and the RMF Security Package. The ATO and RMF documentation is stored in eMASS.

1.4 DSS PMO has implemented, maintains, and adheres to DLA RMF continuous monitoring processes and schedule(s), in accordance with RMF standards.

1.5 DSS PMO performs risk assessments in accordance with DLA Information Operations RMF SOP and documented processes.

1.6 DSS PMO has implemented, maintains, and adheres to a Plan of Actions and Milestones (POA&M) to track, monitor, and resolve control weaknesses and vulnerabilities to remediation (or acceptable residual levels of risk) in accordance with DSS PMO documented processes.

1.7 DLA has implemented an ongoing security awareness program that includes computer-based cyber awareness challenge training. Cyber awareness challenge training is provided on an annual basis and monitored for all staff with system access.

Access Controls 2 Controls provide reasonable assurance that logical access to the DSS application, and data is restricted to authorized users.

2.1 DSS PMO has documented access control procedures that address key activities for administering user access to DSS. This includes the user access request and approval process, revocation, and removal of access for separated employees, inactive accounts, and user access reviews. Access Control security procedures are reviewed at least annually.

2.2 DSS mainframe users are required to access DSS via Federally issued Card(s) configured with valid DoD certificates and Personal Identification Number (PIN).

2.3 DSS application privileged User access is identified, authorized, documented, and reviewed to maintain data integrity.

2.4 DSS System Data Owners authorize user accounts via Account Management and Provisioning Systems (AMPS) and access based on job roles and least privilege considerations in accordance with the DLA Segregation of Duties Matrix (SOD Matrix) through the AMPS internal workflow process.

2.5 DLA performs a review of DLA J3, J6 and Distribution DSS User accounts annually. The results of this review are documented and retained in AMPS.

2.6 DSS Management performs a review of DSS privilege accounts on a monthly basis. The results of this review are documented and retained, and any inappropriate access discovered during the review is removed.

2.7 Security anomalies/events are documented by DISA in a spreadsheet and reviewed weekly by the DLA Information System Security Manager (ISSM). In coordination with the DSS PMO, determination is made whether or not to elevate the anomalies/events to the DLA Computer Emergency Response Team (CERT).

2.8 Access to make updates to DSS production environment outside of the DSS applications is restricted to DSS Privilege accounts. The DSS Privilege accounts are restricted to authorized members of the DSS PMO, which is based on valid job roles and least privilege considerations.

2.9 Data adjustments made outside of the DSS application adhere to the J62D Guardium Audit Review Process for the approval, input, and monitoring of Query Management\Facility (QMF) record/data change requests, which is reviewed monthly.

2.1 DLA Information Operations performs, documents, and maintains monthly reconciliations between AMPS approved roles and DSS system access within Resource Access Control Facility (RACF) to ensure DSS application access matches AMPS authorizations.

Configuration Management

3 Controls provide reasonable assurance that changes to the DSS application are authorized, tested, implemented, and documented.

3.1 The DSS PMO has documented a Supplemental Implementation Guide (SIG) that details the Configuration Management process, which ensures changes to DSS programs, applications, and master data are controlled. The Supplemental Implementation Guide (SIG) is reviewed annually.

3.2 The DSS Configuration Change Working Group (CCWG) authorizes and approves all Requests for Change (RFC) prior to movement to the next stage of the DSS software development life cycle (SDLC). All RFC approvals are documented and retained.

3.3 The DSS PMO has documented and approved test plan standards for levels of testing, via the DSS Test and Evaluation Master Plan (TEMP). The TEMP also defines the responsibilities for each role involved in testing effort.

3.4 DSS Analysts document break/fixes and associate the records (if possible) to the most recently implemented RFC that impacted that code. Change records and Incident records are related in ECRT to provide traceability. Emergency IRs are documented, reviewed, and presented at the next scheduled CCWG. Evidence of the CCWG approval is documented and retained.

3.5 The DSS PMO executes a weekly baseline comparison according to J62D Baseline Comparison SOP to validate the implemented production baseline is the same as the approved baseline in the Endevor tool.

3.6 DLA Information Operations personnel maintain development, testing, and production programs within logically separate libraries. Movement between these libraries is controlled through the restrictions on each user’s approved application role based on their job function. Programmers / developers do not have the ability to move changes to the production program libraries.

Changes to production load modules are performed by Release Management personnel.

Segregation of Duties

4 Controls provide reasonable assurance that the DLA identifies, authorizes, and monitors risks of incompatible duties related to the maintenance, usage, and operation of DSS by DLA Information Operations personnel.

4.1 DLA Information Operations has documented policies and procedures for Segregation of Duties within the DSS environment that are approved and are up to date. These documents are updated as needed and reviewed annually.

4.2 A review of the Role alignment to the Enterprise Rule Set is completed quarterly, or more frequently as role functionality changes.

4.3 The designated Segregation of Duties (SoD) Reviewer reviews each new and/or modified DSS access requests in AMPS to ensure that requested roles do not represent incompatible duties.

Evidence of reviews are documented and retained.

4.4 DSS enforces SoD by restricting access to system resources that results in the combination of incompatible privileges.

4.5 DLA Information Operations performs a monthly review of privileged users who have access to DSS roles containing Single Function Risks to verify access is compatible with assigned job functions as documented in the J62D Privilege and Elevated Access Procedures. The results of this review are documented and retained.

System Operations

5 Controls provide reasonable assurance that DSS application processing is authorized and executed in a complete, accurate, and timely manner. Further, problems and errors are identified, tracked, recorded, and resolved in a complete, accurate, and timely manner.

5.1 The DSS PMO reviews the service level agreement with DISA on an annual basis.

5.2 DSS Management authorizes requests to schedule or modify jobs and documents approval through a work order to DISA.

5.3 DSS Program Management Office (PMO) maintains an on-call list of personnel and their associated contact information who are responsible for responding to production issues/job abends identified by DISA. The On-call list is reviewed by the DSS PMO and updated annually or upon changes to affected personnel.

5.4 DSS personnel reviews with DISA on a weekly basis, a report capturing all significant DSS production issues that occurred during the prior week.

Input 6 Controls provide reasonable assurance that data is received from authorized sources, and is input into DSS completely, accurately, and timely.

6.1 Interface control documents/agreements with DAAS, Air Force and FLIS, which documents the security and format requirements for transmitting data to DSS, are approved, maintained, and reviewed on an annual basis by DSS PMO.

6.2 DSS provides pre-formatted input screens with on-screen edits that are used to validate the input of required fields. The population of financially relevant screens subject to these validations are broken down into the following business process areas:

*Receipt Recordation *Care of Supplies in Storage (COSIS) *Inventory Workload and Count *Pick *Pack *Driver Sign Off

6.3 DSS provides additional validations in accordance with established DSS business rules beyond the validations performed by DAAS in association with the Defense Logistics Management Standards (DLMS) transaction Implementation Conventions for the following transactions:

- EDI 527D - Due-in/Advance Receipt /Due Verification

- EDI 856S - Shipment Status

- EDI 940R – Materiel Release

- Applicable EDI 842 transactions associated with SDR & SQCR Reply, Follow-ups, and corrections

- EDI 846S - Logistical Reassignment

6.4 DSS is configured to automatically transfer all incoming transactions from WebSphere MQ queues into the DSS application. DISA has established queue depth thresholds and has established automated monitoring of those thresholds. If the thresholds are exceeded, DISA will determine if DLA Information Operation personnel are needed to help to resolve the issue. If DLA Information Operations personnel are required to assist in resolving the issue, DISA will utilize the on-call list defined in CA 5.3 and the status of the issue is reviewed by DSS management weekly as described in CA 5.4.

6.5 On a daily basis, DSS is configured via automatically scheduled jobs to interface with FLIS and FPDW to reconcile the differences between DSS Quantity by Global (QBG) table and the data stored in FLIS and FPDW.