TE_CA_06-07 _OS_Appendix_D-2_Bowling_Internal_Control.xls

XLS spreadsheet 166 KB Posted Apr 14, 2016

Attached to: BASE OPERATIONS SUPPORT SERVICES, U. S. ARMY GARRISON KWAJALEIN ATOLL (USAG-KA)
Solicitation number: W9124J_16_R_KWAJALEIN
Issued by: Department of the Army Materiel Command Mission and Installation Contracting Command Fort Sam Houston

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APPENDIX D-2

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IC Summary-Bowling

Appendix D-2 - Bowling Internal Control Scorecard
INTERNAL CONTROLS CHECKLIST - BOWLING
INSTALLATION
ACTIVITY
DATE
REGION
TEAM MEMBERS
LEGEND:	100%-90% =
	89%-75% =
	74%-0% =
ACTIVITY SUMMARY		TOT PTS AVAIL	TOT PTS EARNED	%
TOTAL SCORE		1114	0	0.0%
SAFES, CASH DEPOSITS & PETTY CASH		232	0	0.0%
CASH REGISTER OPERATION		226	0	0.0%
MISC. ADMINISTRATION		114	0	0.0%
KEY CONTROL		150	0	0.0%
VENDING-AMUSEMENT MACHINES		42	0	0.0%
BAR		136	0	0.0%
FOOD		88	0	0.0%
QUICK SHOT BINGO		72	0	0.0%
RETAIL		54	0	0.0%
NOTE: If any area or item within an area is non-applicable, enter 99 into the Grey "N/A" column. This will deduct the allotted points for that Section from the Total Points available.

Page &P of &N

Safes

INTERNAL CONTROL REVIEW
INSTALLATION	0				PAGE 1 OF 2
ACTIVITY	0
DATE	31-Dec-99
GENERAL ADMINISTRATION:
Safe Security, Cash Deposits & Petty Cash-ICM Chapters 5 & 14		YES	INCOMPLETE	NO	N/A	Score:
1. Security Container Information (SF 700) (ICM Chapter 5)
a. Filled out completely		6	3	0
b. Accurate personnel		6	3	0
c. 1st page attached to inside of safe		6	3	0
2. Safe Combinations (ICM Chapter 5)
a. Changed when an individual who knows the combination no longer		10	5	0
requires access
b. Changed at least annually		10	5	0
3. Security Container Check Sheet (SF 702) (ICM Chapter 5)
a. Displayed on all security containers and safes		6	3	0
b. Completed whenever a security container or safe is opened		6	3	0
c. Filled out completely		6	3	0
4. Fund Authorization Letter (ICM Chapter 5)
a. Accurately reflects amount of funds in the safe		6	3	0
b. Attached inside the safe		6	3	0
5. Activity Safe Counts (ICM Chapter 5)
a. Completed at beginning and end of day		10	5	0
b. Completed at change of shift w/outgoing and incoming staff		10	5	0
c. Date, time and responsible individual annotated		6	3	0
d. Retained for at least 30 days		4	2	0
6. Quarterly Safe Counts by Disinterested Party (ICM Chapter 5)		6	3	0
7. Deposits made in IAW ICM (ICM Chapter 5)
a. Prepared in triplicate: 1-bank, 1-CAO, 1-activity		6	3	0
b. Deposited nightly or at start of next business day		10	5	0
c. Deposit matches DAR		6	3	0
d. Activity copy attached to DAR		4	2	0
NOTES:
SAFE SECURITY, CASH DEPOSITS & PETTY CASH					PAGE 2 OF 2
8. Petty Cash (ICM Chapter 14)
a. Used only for items, services or incidental expenses where		6	3	0
payment by check or credit card is not feasible
b. Employee signs for petty cash funds on a DA Form 4082 or		6	3	0
similar type form when receiving monies to make a purchase
c. DA Form 1994 is used to validate each petty cash transaction		6	3	0
d. DA Form 1994 used in sequential order. No numbers missing		6	3	0
e. DA Form 1994 filled out in ink and approved by authorized		6	3	0
individual
f. "Pay To" is the activity to whom the payment was made (i.e.		4	2	0
Home Depot, Wal Mart)
g. Separate voucher used for each disbursement		6	3	0
h. Paid vouchers and supporting documents are clearly marked "PAID",		4	2	0
dated, and initialed by person making the disbursement.
i. DA Form 1994's controlled by maintaining a log showing to		4	2	0
whom they were issued
j. Supporting documentation is attached to DA Form 1994		6	3	0
k. DA Form 1993 used to summarize the DA Form 1994's and		6	3	0
submitted when seeking reimbursement
l. Requests for reimbursement are made at least as of the last		4	2	0
day of the month
9. Pre numbered Documents (ICM Chapter 5)
a. Secured in safe when not in use		4	2	0
10. Overall Safe Security (ICM Chapter 5)
a. Limited Access:		10	5	0
b. Opened Safes Attended at all times		10	5	0
c. Safes Have Adequate Protection		10	5	0
11. Funds are adequate for activity		4	2	0
TOTAL FOR SAFE SECURITY, CASH DEPOSITS & PETTY CASH:		232				0
						0%
NOTES:

Page &P of &N

Cash Register Ops

INTERNAL CONTROL REVIEW
INSTALLATION	0					PAGE 1 OF 2
ACTIVITY	0
DATE	31-Dec-99
GENERAL ADMINISTRATION:
Cash Register Operations - ICM Chapter 6 & 18		YES	INCOMPLETE	NO	N/A		Score:
1. Cash Registers (ICM Chapter 6)
a. Cash registers used to record all sales (or DA 1992 in lieu of)		10	5	0
b. Sales amount displayed on register easily seen by customer		10	5	0
or a register kick out tape or sales receipt given to customer
2. Register Change Funds (ICM Chapter 6)]
a. Signed for by register operator on DA Form 4082		8	4	0
b Pre-numbered cash control documents (guest checks,		8	4	0
tickets, Quick Shot Bingo) issued on DA Form 4082
c. DA Form 4082 kept in safe as a receipt for the issued		6	3	0
change fund
d. Upon end of shift, cashier completes a cash count with a		10	5	0
responsible party to include change fund, pre-numbered cash
control documents, and cash receipts.
e. Register sales and pre-numbered documents reconciled with		8	4	0
cash collected
f. Unused pre-numbered documents recorded in applicable		6	3	0
blocks on DA Form 4082
g. Cashiers DO NOT keep overages NOR do they make up		10	5	0
shortages
h. Person accepting the cash at the end of the shift will verify		10	5	0
and document the amount on DA Form 4082. This is done
in the presence of the person relinquishing control.
3. Register Operation (ICM Chapter 6)
a. Only one person assigned to a cash drawer		10	5	0
b. Personal items such as purses, bags, etc are not kept near		10	5	0
register areas
c. Sales are rung in individually		8	4	0
d. Over/under rings are voided, not adjusted by adding or		8	4	0
subtracting to a later customer sale
e. Voids are verified by management		8	4	0
f. Voids annotated on DA Form 4082 with the voided kick out		8	4	0
tape attached
g. Cash registers are not operated with drawer left open		10	5	0
h. COB, registers emptied of cash and drawers left open with		6	3	0
register controls locked
i. Only managers or their representatives take register readings		6	3	0
j. Register tape attached to daily activity paperwork		6	3	0
NOTES:
CASH REGISTER OPERATIONS						PAGE 2 OF 2
4. Daily Activity Reports (DARS) (ICM Chapter 6)
a. Filled out correctly		6	3	0
b. Copy of deposit slip attached		4	2	0
c. Reviewed by management		4	2	0
d. Sent to CAO/FMB within two working days		4	2	0
5. Overage/Shortage Logs (ICM Chapter 6)
a. Maintained on all employees who handle cash		8	4	0
b. Entries made for each shift the employee worked		4	2	0
c. If no overage/shortage for shift, it is annotated as such		4	2	0
d. Log includes date, total register accountability, total cashier		6	3	0
accountability, over/short in dollars and percentage,
explanations for variances over 2%, monthly totals, and
employee signature at EOM
6. Surprise Cash Counts (ICM Chapter 18)
a. Managers or their representatives make unannounced counts		10	5	0
on a position that handles cash at least monthly
b. Recorded on a DA Form 4082 or similar type form		6	3	0
c. Kept on file for at least 3 years		4	2	0
TOTAL FOR CASH REGISTER OPERATIONS:		226					0
							0.0%
NOTES:

Page &P of &N

Admin-Misc.

INTERNAL CONTROL REVIEW
INSTALLATION	0
ACTIVITY	0
DATE	31-Dec-99
GENERAL ADMINISTRATION:
Miscellaneous Admin-ICM Chapters 2, 9, 13, 17 & 19		YES	INCOMPLETE	NO	N/A	Score:
1. Employee Meals (ICM Chapter 9)
a. Authorized employees only		8	4	0
b. Standard discount (50% or % determined by local SOP)		6	3	0
c. DA Form 5069 used		6	3	0
d. DA Form 5069 prepared by head cashier		4	2	0
e. DA Form 5069 completed and accurate		6	3	0
f. DA Form 5069 sent forward with DA Form 4082 to CAO		4	2	0
if not using automated system that breaks out employee meals
g. File copy retained at activity		4	2	0
2. Tip Reporting (ICM Chapter 21)
a. Tipped employees are reporting their tips		10	5	0
b. Tips are allocated if total tips reported is less than 8%		10	5	0
c. Activity using TLMS to report tips and tip allocation		6	3	0
3. Cover Charge Accountability (ICM Chapter 17)
a. Using system to determine CC accountability		8	4	0
b. Reconciliation to cash collected		8	4	0
4. Management Information Systems (MIS) (ICM Chapter 13)
a. Completed in a timely manner		6	3	0
b. Reflects all revenues and expenses		6	3	0
5. ASIP/Bar Code Certification (ICM Chapter 2)
a. All employees involved in selling alcoholic beverages are		6	3	0
trained within 30 days of hire
b. All employees involved in selling alcoholic beverages are		6	3	0
recertified at least annually
c. Training is documented in the employee's file		4	2	0
6. Sanitation Training (TB MED 530)
a. Food service employees have been trained in the practices		6	3	0
and principles of foodbourne illness prevention and in first
aid for choking
TOTAL FOR ADMIN MISCELLANEOUS:		114				0
						0.0%
NOTES:

Page &P of &N

Key Control

INTERNAL CONTROL REVIEW
INSTALLATION	0					PAGE 1 OF 2
ACTIVITY	0
DATE	31-Dec-99
GENERAL ADMINISTRATION:
Key Control - ICM Chapter 12		YES	INCOMPLETE	NO	N/A		Score:
1. Appointment Letter
a. Primary/alternate key custodian appointed in writing		6	3	0
2. Access Roster
a. Reflects all personnel authorized to issue and receive keys		6	3	0
b. Determines which employees may receive what keys		6	3	0
c. Signed by the key custodian		4	2	0
d. Posted on the key box		4	2	0
3. Key Depository
a. Filing cabinet, safe or key depository made of at least 26		6	3	0
gauge steel, equipped with a tumbler type locking device
b. Permanently affixed to a wall		2	1	0
c. Kept in a room that is locked when unoccupied or		10	5	0
under 24-hour surveillance
4. Master Inventory
a. Includes serial number of the key or lock, location of the		8	4	0
lock, total number of keys maintained for the lock, where the
keys are located and hook number
b. Master inventory is secured in a locked container when not in		8	4	0
use
5. Key Control Register
a. Key or lock serial number listed under "Key Control Numbers"		6	3	0
b. All keys signed in and out by authorized personnel with		10	5	0
date and time annotated
c. Kept in a locked container with controlled access when not in		10	5	0
use
d. Key rings or sets are signed out on a separate register		4	2	0
e. Key control registers are retained for at least 90 days after the		2	1	0
last entry
6. Permanently Issued Keys
a. Kept to the minimum necessary		10	5	0
b. Signed for on DA Form 5513-R or hand receipt		10	5	0
NOTES:
KEY CONTROL						PAGE 2 OF 2
7. Inventories
a. Daily issued keys are checked at the end of the day		10	5	0
b. Personally retained keys inventoried at least quarterly on a		10	5	0
"show basis"
c. All keys inventoried by serial number at least semi-annually		10	5	0
d. Memorandum for Record prepared for each 100% inventory		6	3	0
stating all keys were inventoried and what, if any,
discrepancies were found
e. Inventory documentation maintained on file for a minimum		2	1	0
of one year
TOTAL FOR KEY CONTROL:		150					0
							0.0%
NOTES:

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Vending-Amusement

INTERNAL CONTROL REVIEW
INSTALLATION	0
ACTIVITY	0
DATE	31-Dec-99
GENERAL ADMINISTRATION:
Vending and Amusement Machines - ICM Chapter 22		YES	INCOMPLETE	NO	N/A	Score:
1. Access
a. Current machine inventory is on hand to include serial		4	2	0
number and location of machine
b. Concessionaire-owned machines will have at least two		4	2	0
locks; one to access the machine and one NAFI-owned
lock to access the cash box
c. All keys are controlled to restrict access		8	4	0
2. Collections
a. DA Form 4083-R (Vending and Amusement Machine		4	2	0
Collections) is prepared in duplicate each time cash is
removed from fund controlled vending/amusement machines
Note: May use ARMP data collection/ verification
b. At least two persons are involved each time cash is		6	3	0
removed from fund controlled vending/amusement machines
and their signatures are annotated on DA Form 4083-R
c. Original DA Form 4083-R is turned in with the cash and		2	1	0
sent forward with the DAR
d. Cash collections are made at least once a week unless		2	1	0
sales are anticipated to be less than $50 per machine
e. Customers are reimbursed from the petty cash fund for		2	1	0
losses due to inoperable machines
3. Sales Accountability
a. Meters or inventory method is used to determine sales		6	3	0
accountability
b. Variances are investigated and documented		4	2	0
TOTAL FOR VENDING & AMUSEMENT MACHINES:		42				0
						0.0%
NOTES:

Page &P of &N

Bar

INTERNAL CONTROL REVIEW
INSTALLATION	0				PAGE 1 OF 2
ACTIVITY	0
DATE	31-Dec-99
BAR OPERATIONS:
Bar Regulations - ICM Chapter 2		YES	INCOMPLETE	NO	N/A	Score:
1. Personnel
a. Only NAFI employees used to dispense and serve alcoholic		2	1	0
beverages
2. Restrictions
a. Alcohol is not given away as prizes		2	1	0
b. No more than one drink is served to a customer at a time		2	1	0
c. Prices are not reduced for specific day parts or customers		2	1	0
d. Privately owned alcoholic beverages are not brought into the		2	1	0
facility
Beverage Controls - ICM Chapters 2, 3, 4, 8 & 11
1. All bar supply areas are kept locked unless in use (ICM Chapter2)		8	4	0
2. Each bar is considered a separate operation with it's own		8	4	0
sales accountability (ICM Chapter 2)
3. Bar Inventories (ICM Chapter 2 & 11)
a. Conducted daily if COGS > 24% or there is a monthly		10	5	0
fluctuation of 2% or more
b. Surprise bar inventory at least once/month/employee		6	3	0
c. Tare weights are accurate		4	2	0
d. Beginning and ending inventories are correct		4	2	0
e. All receipts of bar products are accurately recorded		4	2	0
f. Accurate pricing for all items on registers & inventory sheets		4	2	0
g. Bartenders sign for inventory for sales accountability period		4	2	0
h. Opening and closing readings validated		4	2	0
i. Person other than bartender completing bar inventories		6	3	0
4. Draft Beer (ICM Chapter 8)
a. Draft beer sales accountability completed upon change		10	5	0
of shift
b. Beer taps are locked or draft beer otherwise secure		6	3	0
c. Cooperage account properly set up and invoices coded		4	2	0
correctly (GLAC 128)
d. Kegs are rotated within 7-10 days of tapping		2	1	0
e. Draft beer lines cleaned at least monthly		2	1	0
NOTES:
BAR OPERATIONS					PAGE 2 OF 2
5. Bartender Variance Log (ICM Chapter 3)
a. Maintained on each bartender for each shift worked		4	2	0
b. Includes bartenders name, bar worked, date of shift,		2	1	0
cash +/- and inventory +/-
c. Variances over 2 % are investigated and appropriate action		2	1	0
taken
6. Breakage and Spoilage (ICM Chapter 4)
a. Proper items recorded		2	1	0
b. Total breakage & spoilage does not exceed 1% of total sales		2	1	0
7. End of Month Inventories (ICM Chapter 11)
a. Completed as of the last business day of the each month		4	2	0
b. Completed with two people working pairs		4	2	0
c. Inventories conducted and listed separately for each dept.		2	1	0
d. Each inventory includes a visual count of merchandise and		2	1	0
comparison of results of balances carried on perpetual inv.
e. Bar condiments and garnishes charged to cost of goods		2	1	0
when issued and not counted on EOM
8. Other Inventories (ICM Chapter 11)
a. Perpetual/Sensitive Item inventories are maintained		10	5	0
b. Surprise inventories of storage areas are conducted at least		4	2	0
monthly by mgmt
TOTAL FOR BAR OPERATIONS:		136				0
						0.0%
NOTES:

Page &P of &N

Food

INTERNAL CONTROL REVIEW
INSTALLATION	0
ACTIVITY	0
DATE	31-Dec-99
FOOD OPERATIONS:
ICM Chapter 4, 11 & 17		YES	INCOMPLETE	NO	N/A	Score:
1. Foodtrak or similar automated inventory system is used and		10	5	0
current (ICM Chapter 11)
2. Scatter Sheets (ICM Chapter 17)
a. Analyzed by management for accuracy and trends		4	2	0
b. Cashiers monitored for accuracy		2	1	0
c. Expected sales compared to actual sales		2	1	0
d. Variances investigated and documented		2	1	0
3. Inventories (ICM Chapter 11)
a. Perpetual inventories are in place and current		10	5	0
b. Sensitive item inventories are in place and current		10	5	0
c. Surprise inventories by management completed at least		4	2	0
monthly
4. End of Month Inventories (ICM Chapter 11)
a. Completed as of the last business day of each month		4	2	0
b. Completed with two people working pairs		4	2	0
c. Inventories conducted and listed separately for each dept.		2	1	0
d. Each inventory includes a visual count of merchandise and		2	1	0
comparison of results of balances carried on perpetual inv.
e. Open and partial containers (such as coffee, spices, etc) in		2	1	0
the production areas are not included on EOM
5. Kitchen security
a. Kitchen storage areas are secure when not in use		8	4	0
b. All inventory items are secured when not in use (i.e. chips,		8	4	0
candy, cigarettes)
c. Employee parking is not allowed near the receiving area		4	2	0
6. Separation of duties (ordering, receiving, and issuing)		2	1	0
7. Scale used for deliveries when required		4	2	0
8. Breakage and Spoilage (ICM Chapter 4)
a. Proper items recorded (i.e. leftovers are NOT approved items)		2	1	0
b. Total breakage & spoilage does not exceed 1% of total sales		2	1	0
TOTAL FOR FOOD OPERATIONS:		88				0
						0.0%
NOTES:

Page &P of &N

QS Bingo

INTERNAL CONTROL REVIEW
INSTALLATION	0
ACTIVITY	0
DATE	31-Dec-99
BINGO OPERATIONS:
Quick Shot Bingo - ICM Chapter 15		YES	INCOMPLETE	NO	N/A	Score:
1. Participation
a. Limited to authorized patrons and bona fide guests		8	4	0
b. Management, employees, bingo volunteers, and family		2	1	0
members thereof do not participate in bingo
2. Bingo Operations
a. All Quick Shot BB cards are kept in a secure location		8	4	0
b. Perpetual inventories are kept for all Quick Shot BB cards		10	5	0
d. Quick Shot BB cards are pre-numbered		4	2	0
e. Quick Shot BB cards are sold in numerical order		4	2	0
e. Quick Shot BB cards are date stamped upon sale of the card		4	2	0
f. Cashier signs for Quick Shot BB Cards at beginning of		6	3	0
shift on DA Form 4082
g. Sales accountability tests are performed at the end of each		6	3	0
shift, using cash receipts, register tapes and DA Form
4082
h. All variances are investigated and documented		4	2	0
i. Bingo numbers are called weekly and all numbers are verified		4	2	0
by a disinterested party (annotated on Bingo Verification
Sheet)
j. Different colors of Quick Shot BB cards are used when		2	1	0
multiple locations are playing
k. Quick Shot BB cards must be permanently marked using		2	1	0
a Dauber, ink pen or similar item
l. Prize sheets are filled out and signed by the winners		4	2	0
m. Winning cards are attached to the daily paperwork and		2	1	0
retained with the DAR by the facility for three years
n. Activity nets, at a minimum, 20% from Quick Shot BB		2	1	0
TOTAL FOR QUICK SHOT BONANZA BINGO OPERATIONS:		72				0
						0.0%
NOTES:

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Retail

INTERNAL CONTROL REVIEW
INSTALLATION	0
ACTIVITY	0
DATE	31-Dec-99
RETAIL/PRO SHOP OPERATIONS:
ICM Chapter 16		YES	INCOMPLETE	NO	N/A	Score:
1. Inventories
a. Perpetual inventories are in place and current		10	5	0
b. Sensitive item inventories are in place and current		10	5	0
c. Surprise inventories are completed by management at least		4	2	0
monthly
2. End of Month Inventories
a. Completed with two people working in pairs		4	2	0
b. Inventories conducted and listed separately for each dept.		4	2	0
c. Each inventory includes a visual count of merchandise and		2	1	0
comparison of results of balances carried on perpetual inv.
d. Shortages and overages recorded separately and posted		4	2	0
to Stock Record Cards or automated system
e. 100% inventories completed in May and September unless		6	3	0
net difference is 5% of total stock record mdse or exceeds
$2500 (must then be taken monthly until variance is within
1% for two consecutive months)
3. Sales Accountability
a. Retail sales accountability tests are performed on a		6	3	0
reoccurring basis by management (at least monthly)
b. Variances are investigated and documented		4	2	0
TOTAL FOR RETAIL/PRO SHOP OPERATIONS:		54				0
						0.0%
NOTES:

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Sheet1

File details come from the government source that posted it. Updated Nov 14, 2017.