I–1. Function
The function covered by this evaluation is the administration of the Army ERS.
I–2. Purpose
The purpose of this evaluation is to assist assessable unit managers, internal control administrator, and test control officers in evaluating the key internal controls outlined.
It is not intended to cover all controls.
I–3. Instructions
Answers must be based on the actual testing of key internal controls (for example, document analysis, direct observation, sampling, simulation, or other).
Answers that indicate deficiencies must be explained and the corrective action identified in supporting documentation.
These internal controls must be evaluated at least once every 5 years.
Certification that the evaluation has been conducted must be accomplished on DA Form 11–2 (Internal Control Evaluation Certification).
I–4. Test questions
a.
Are rating chains being established by the commander, commandant, or leader of an organization and maintained by rating officials?
b.
Is the rated Soldier participating in counseling, providing and discussing with the rating chain the duty description, performance objectives or academic standards, and/or course requirements with the rater within 30 days after the beginning of each new rating period and at least quarterly thereafter?
c.
Is the rater providing a copy of their support form, along with the senior rater’s support form, to the rated Soldier at the beginning of the rating period?
d.
Are senior raters ensuring rating officials counsel the rated Soldier, individually and throughout the rating period, on meeting their objectives and complying with the professional standards of the Army?
e.
Are evaluation reports being submitted in accordance with the requirements outlined in paragraph 3–2?
f.
Are rating officials utilizing DA Form 2166–9–1A for NCOs and DA Form 67–10–1A for officers in accordance with the process outlined in DA Pam 623–3?
g.
Are local units maintaining copies of submitted classified evaluation reports in accordance with AR 380 –5?
h.
Are most recent versions of evaluation report forms found in EES being utilized for preparation and submission requirements?
I–5. Supersession
This evaluation replaces the evaluation previously published in AR 623–3, dated 4 November 2015.
I–6. Comments
Help make this a better tool for evaluating internal controls.
Submit comments to Commander, U.S. Army Human Resources Command (AHRC–PDV–E), 1600 Spearhead Division Avenue, Department 470, Fort Knox, KY 40122–5407.
Referenced Paragraphs and Chapters
Paragraph 3–2. Evaluation report requirements
Evaluation report requirements prescribe the mandatory and optional evaluation reports, submission requirements, and responsibilities associated with the Army Evaluation Reporting System.
DA Pam 623–3
DA Pam 623–3 contains procedures, tasks, and steps pertaining to the completion of evaluation reports and support forms.
AR 380–5
AR 380–5 prescribes policies and procedures for safeguarding classified information and maintaining classified documents and records.
Chapter 3
Chapter 3 covers Army Evaluation Principles, evaluation roles and responsibilities, evaluation preparation and submission requirements, restrictions, mandatory reports, and optional reports.