TABLE OF CONTENTS
Topics | Sections |
5.1 What is the purpose of this chapter? 5.2 What is the scope of this chapter? 5.3 What are the authorities and terms you need to know to understand this chapter? 5.4 What is the purpose of the management control program? | |
5.5 What are the guidelines for the fleet management control review (MCR) process? 5.6 How does the Service structure structure 5.7 When does the Service perform fleet MCRs? 5.8 How does the Service perform annual fleet MCRs? 5.9 How does the Service perform periodic monitoring of national-level fleet performance indicators? 5.10 What is the methodology for MCRs? | |
NATIONAL, REGIONAL, AND LOCAL REVIEWS AND THE MANAGEMENT CONTROL INDICATORS | 5.11 How does the Service structure national reviews? 5.12 Which management control indicators does the national management control evaluator (MCE) review on an annual basis at the national level? 5.13 Which management control indicators does the national MCE periodically monitor at the national level? 5.14 How does the Service structure regional reviews? 5.15 Which management control indicators does the national MCE review on an annual basis at the Regional level? 5.16 Which management control indicators does the MCE periodically monitor at the regional level? 5.17 How does the Service structure local reviews? 5.18 Which management control indicators do the national and Regional MCEs review on an annual basis at the local level? |
5.19 How do MCR teams report findings from annual reviews? 5.20 How does the Service categorize deficient management controls? 5.21 What are the Service’s requirements for completing corrective action plans (CAP)? | |
5.22 Where can employees find additional information about MCRs? 5.23 Who should employees contact with questions about motor vehicle MCRs? |
OVERVIEW
5.1 What is the purpose of this chapter? This chapter describes the U.S. Fish and Wildlife Service’s (Service) requirements and policies for the motor vehicle management control program, including:
A. The purpose and guidelines for the Service’s motor vehicle management controls and control reviews;
B. The motor vehicle management control indicators, organized by organization level and frequency of reviews; and
C. The post-review assessment, reporting, and response requirements.
5.2 What is the scope of this chapter? This chapter applies to all duty stations that own, lease, and rent motor vehicles.
5.3 What are the authorities and terms you need to know to understand this chapter? See 320 FW 1 for a list of authorities and definitions of the terms used in all the chapters in Part 320.
5.4 What is the purpose of the management control program? The management control program serves to analyze the effectiveness of the fleet program by establishing processes to:
A. Evaluate facilities across the entire fleet enterprise against a common Service standard;
B. Establish oversight, evaluation, and internal audit processes to identify, mitigate, and resolve deficiencies;
C. Identify issues that are beyond the control of those at the local or Regional level and require Headquarters-level resolution;
D. Establish a trend review, a causal analysis, and open sharing of lessons learned across the Service; and
E. Establish standard Servicewide functional checklists to consistently assess the effectiveness of Service fleet personnel and the processes they use to manage the fleet.
THE SERVICE'S FLEET MANAGEMENT CONTROL PROGRAM
5.5 What are the guidelines for the fleet management control review (MCR) process? In accordance with 290 FW 1, 2, and 3, the Chief, Division of Contracting and General Services (CGS) or their designee must:
A. Prepare an annual MCR plan, which identifies:
(1) Timeframes for the reviews, and
(2) Officials responsible for performing the reviews;
B. Oversee the MCR program, which includes:
(1) Ensuring that Headquarters reviews all Regions, and that Regions review all of their duty stations over the course of a 3-year cycle, and
(2) Assessing MCR findings for trends and potential issues;
C. Establish and update the Service’s annual fleet MCR priorities;
D. Provide training to conduct MCRs, as needed;
E. Ensure that Headquarters and Regional staff select appropriate sample sizes for reviews as specified in 290 FW 3;
F. Report the status and results of MCRs using summary reports and assurance statements in accordance with Department of the Interior (Department) guidelines; and
G. Monitor corrective actions for progress and timely completion.
5.6 How does the Service structure its fleet management control program? The Service organizes fleet MCRs into the following levels:
A. National reviews of Servicewide fleet performance and fleet management practices,
B. Regional reviews of Regional fleet performance and fleet management practices, and
C. Local reviews of duty stations’ fleet performance and fleet management practices.
5.7 When does the Service perform fleet MCRs? The Service conducts comprehensive fleet MCRs annually so that each Region and duty station is reviewed at least once every 3 fiscal years (see annual and quarterly management control checklists in sections 5.12 through 5.18). The Service also performs periodic monitoring of Headquarters-level fleet performance indicators.
5.8 How does the Service perform annual fleet MCRs? The Service performs MCRs at each level using MCR teams.
A. MCR teams, led by a management control evaluator (MCE), evaluate the management control indicators listed in the management control plan.
B. National and Regional managers appoint MCEs to lead MCR teams. MCEs bear primary responsibility for issuing a determination of the effectiveness of management controls for the organization they review. MCEs are appointed as follows:
(1) For national reviews, the Chief, CGS, or their designee (other than the National Fleet Manager),
(2) For Regional reviews, the National Fleet Manager, and
(3) For local reviews, Regional Fleet Managers, Regional Fleet Coordinators, or other designated CGS and program personnel as described in the annual plan.
5.9 How does the Service perform periodic monitoring of national-level fleet performance indicators?
A. MCR teams periodically monitor macro-level fleet performance indicators. The Chief, CGS, or their designee periodically monitors the national indicators defined in section 5.13, and the National Fleet Manager periodically monitors the Regional indicators defined in section 5.16.
B. MCR teams evaluate three categories of management control indicators:
(1) Vehicle acquisition,
(2) Vehicle use, and
(3) Vehicle disposal.
5.10 What is the methodology for MCRs? MCR teams complete annual MCRs using on-site assessments and data analysis. The MCE determines whether to evaluate the specific management control indicators in sections 5.12 through 5.18 by visiting the site or virtually through data analysis.
A. On-site assessments include:
(1) Inspections of vehicles, equipment, and processes, often through the use of MCR checklists, to assess compliance with established policies;
(2) Observation of events or conditions with safety implications or policy violations that are considered unsafe, not in accordance with established procedures, or in the case of vehicles and equipment, unfit to operate; and
(3) Simulation, interviews, and other means necessary to identify internal control weaknesses as determined by the evaluator.
B. Virtual data analysis includes:
(1) Reviews of electronic data found in fleet management information systems, and
(2) Phone or email interviews to collect information or identify internal control weaknesses as determined by the evaluator.
NATIONAL, REGIONAL, AND LOCAL REVIEWS AND THE MANAGEMENT CONTROL INDICATORS
5.11 How does the Service structure national reviews? The Chief, CGS (or their designee) serves as the MCE for national-level MCRs for the Service’s fleet of motor vehicles and is responsible for:
A. Leading annual reviews of Headquarters fleet personnel, and
B. Conducting periodic monitoring of national-level fleet indicators. See sections 5.12 and 5.13.
5.12 Which management control indicators does the national MCE review on an annual basis at the national level? See Table 5-1.
Table 5-1: Management Control Indicators Annually Reviewed at the National Level
Category | Control Indicator | Anticipated Answer |
Vehicle Acquisition | Does the National Fleet Manager have approvals on file for any vehicle acquisitions that exceeded the Regional fleet size target established by the vehicle allocation methodology (VAM)? | Yes – the VAM is defined in 320 FW 1 and the vehicle acquisition strategy is outlined in 320 FW 2 |
Vehicle Usage | Has the Service updated fleet policy or guidance to address any new Federal requirements that have been issued in the past year? | Yes or N/A when there have not been any new Federal requirements in the past year |
Did the Service evaluate and approve a new VAM within the past year? | Yes – the Service is required to update the VAM every year | |
Did the Service evaluate and approve a new vehicle sustainability target within the past year? | Yes – the Service is required to approve sustainability targets every year as defined in the requirements in 320 FW 2 | |
Do low-utilization vehicles (i.e., below the annual standard over the last 12 months) have a recent justification for retention on file (within the last fiscal year)? | Yes – retention of low-utilization vehicles must be justified in accordance with 320 FW 3 | |
What percentage of vehicles not justified for retention from the Service utilization standards are underutilized over the last 12 months? | 0% – utilization standards are covered in 320 FW 3 |
5.13 Which management control indicators does the national MCE periodically monitor at the national level? See Table 5-2.
Table 5-2: Management Control Indicators Periodically Reviewed at the National Level
Category | Control Indicator | Anticipated Answer |
Vehicle Usage | Is the national fleet size above the target fleet size based on the Service-established VAM? | No – the Service establishes a national fleet size target through the VAM. The fleet size requirement is further described in the vehicle acquisition strategy in 320 FW 2. |
5.14 How does the Service structure Regional reviews? The National Fleet Manager serves as the MCE for all Regional-level MCRs and is responsible for:
A. Leading annual reviews for three Regions every fiscal year so that every Region is reviewed at least once over the course of a 3-year cycle;
B. Conducting periodic monitoring of the Regional-level fleet indicators in section 5.16, and
C. Notifying Regional leadership of on-site visits no later than 45 calendar days before the start of the review.
5.15 Which management control indicators does the national MCE review on an annual basis at the Regional level? See Table 5-3.
Table 5-3: Management Control Indicators Annually Reviewed at the Regional Level
Category | Control Indicator | Anticipated Answer |
Vehicle Acquisition | What percentage of vehicle acquisition justification forms has the Regional Fleet Manager (RFM) signed? | 100% – vehicle acquisition justification must be completed for all vehicle acquisitions as described in 320 FW 2 |
If the Regional fleet size exceeds the maximum Regional fleet size established by the VAM, does the RFM have approvals from the Assistant Director – Business Management and Operations (AD-BMO) on file for any excess vehicles? | Yes – the AD-BMO must approve vehicle acquisitions if the Regional fleet size exceeds the target fleet size established by the VAM | |
Does the Regional fleet meet the vehicle, energy, emissions, and sustainability targets established in the fleet management plan? | Yes – according to 320 FW 2, the RFM must enforce the sustainability requirements established in the Department’s annual Strategic Sustainability Performance Plan | |
What percentage of vehicles in the Regional fleet are registered properly in the vehicle registration system? | 100% – according to 320 FW 2, vehicles must be registered in the vehicle registration system after an acquisition | |
Vehicle Usage | Does the RFM have a justification form on file for all low-utilization vehicles? | Yes – Accountable Officers must submit justifications to retain low-utilization vehicles, as described in 320 FW 3 |
Vehicle Disposal | What percentage of vehicles in the Regional fleet exceed the disposal criteria? | 0% – disposal criteria are defined in 320 FW 4 |
How many underutilized vehicles (over the last 12 months) does the Region have in its fleet that do not have a justification for retention on file? | None – underutilized vehicles that meet the disposal criteria described in 320 FW 4 and are not justified for retention should be disposed of | |
Does the RFM keep license plates from disposed vehicles secured in a locked location before transferring them to UNICOR/ Department of Justice (DOJ)? | Yes – the Regional Fleet Manager must securely dispose of license plates according to 320 FW 4 |
5.16 Which management control indicators does the national MCE periodically monitor at the Regional level? See Table 5-4.
Table 5-4: Management Control Indicators Periodically Reviewed at the Regional Level
Category | Control Indicator | Anticipated Answer |
Vehicle Acquisition | Is the Regional fleet size above the VAM-established optimal fleet size? | No – the Regional fleet size should be at or below the VAM-established optimal fleet size, as described in 320 FW 2 |
Vehicle Usage | How many underutilized vehicles (over the last 12 months) in the Regional fleet do not have a justification for retention on file? | None – underutilized vehicles must have justification for retention forms on file, as described in 320 FW 3, or they must be disposed of |
5.17 How does the Service structure local reviews? The National Fleet Manager and Regional Fleet Managers serve as the MCEs for local level reviews.
A. Regional Fleet Managers conduct annual reviews of approximately one third of their Regions’ stations each year, focusing on those stations that had material weaknesses in the prior year’s review according to the guidance in section 5.19.
B. National Fleet Managers conduct joint reviews with Regional Fleet Managers where they are performing reviews:
(1) For stations receiving a routine review on a 3-year cycle, and
(2) For a select number of stations with material weaknesses in the prior year’s review (see section 5.20).
C. National and Regional Fleet Managers must notify duty station leadership of on-site reviews no later than 15 calendar days before the start of the review.
5.18 Which management control indicators do the national and Regional MCEs review on an annual basis at the local level? See Table 5-5.
Table 5-5: Management Control Indicators at the Local Level
Category | Control Indicator | Anticipated Answer |
Vehicle Acquisition | Has the Accountable Officer documented the inspection of all newly acquired vehicles within the past year on Form DI-102? | Yes – Accountable Officers must inspect and record the inspection of new vehicles according to 320 FW 2 |
What percentage of vehicle acquisition justification forms list a reason to acquire a new vehicle instead of using an existing one? | 100% – Accountable Officers must list a reason for acquiring a new vehicle in justification forms as described in 320 FW 2 | |
What percentage of vehicle acquisition justification forms for non-alternative fuel vehicle (AFV) acquisitions justify this selection? | 100% – Accountable Officers must list the reason(s) for acquiring non-AFV vehicles in justification forms, according to 320 FW 2 | |
What percentage of vehicle acquisition justification forms have completed cost analyses attached? | 100% – Accountable Officers must attach cost analyses to justification forms, according to 320 FW 2 | |
What percentage of vehicle acquisition justification forms for vehicles with additional equipment list the rationale for these purchases? | 100% – Accountable Officers must list the rationale for the purchase of additional equipment on justification forms, according to 320 FW 2 | |
For acquisitions where the lowest cost option was not selected, what percentage of vehicle acquisition justification forms list the rationale for choosing the higher cost option? | 100% – Accountable Officers must provide a reason for purchasing any vehicle that costs more than the lowest cost option on the justification form, according to 320 FW 2 | |
Have all acquisitions of mid-size or large sedans or trucks received approval from the Chief, CGS and the AD-BMO? | Yes – the Chief, CGS or their designee and the AD-BMO must approve the acquisition of any mid-size or large sedans or trucks, according to 320 FW 2 | |
What percentage of disposed vehicles replaced before meeting minimum replacement standards are justified under 320 FW 2? | 100% – Accountable Officers must justify purchasing replacement vehicles before the existing vehicle meets the replacement standards in 320 FW 2 | |
What percentage of vehicles display correct license plates and are registered properly in the Federal Motor Vehicle Registration System (FMVRS)? | 100% – vehicles must be registered in the vehicle registration system after an acquisition, and fleet vehicles must display an official fleet license plate, according to 320 FW 2 | |
Vehicle Usage | Does each vehicle file contain all supporting documentation from charge card transactions for at least 3 years? | Yes – Accountable Officers are required to maintain documentation for charge card transactions for 3 years, according to 320 FW 3 |
Have vehicle operators and supervisors completed Safety Management Information System (SMIS) entries for any accidents that occurred over the last year? | Yes – vehicle operators and supervisors must maintain records of all accidents, according to 320 FW 3 | |
Is the home-to-work (HTW) travel log up to date for any approved HTW travel? | Yes or N/A – Accountable Officers must record approved HTW travel in a travel log as described in 320 FW 3 | |
Has the station charged repair costs above the one-time repair allowance for any vehicles? | No – stations are only allowed to charge repair costs below the one-time repair allowance established in 320 FW 3 | |
Has the Accountable Officer requested that employees have the appropriate level of access to fleet systems and that system access is terminated no later than 15 days after personnel leave the Service? | Yes – Accountable Officers are responsible for overseeing fleet system access, according to 320 FW 3 | |
Have vehicles received emissions inspections as required by State law? | Yes – vehicles must be inspected for emissions in accordance with State laws, according to 320 FW 3 | |
Have vehicles had all manufacturer-recommended maintenance within the required period according to vehicle maintenance records? | Yes – stations must administer manufacturer-recommended maintenance, according to 320 FW 3 | |
Are there any outstanding vehicle manufacturer recall items for vehicles at the station? | No – stations must ensure manufacturer recalls are processed, according to 320 FW 3 | |
Have station staff used Service and GSA maintenance facilities (if available)? | Yes – stations must use Service and GSA maintenance facilities when available, according to 320 FW 3 | |
Do vehicles contain required safety equipment and first aid kits? | Yes – vehicles must contain safety equipment and first aid kits, according to 243 FW 1 | |
Do vehicles have an operator’s packet in them? | Yes – vehicles must have the operator’s packet contents specified in 320 FW 2 | |
Do all vehicles either display Government license plates or have a confirmed exemption? | Yes – vehicles must display Government license plates unless they have a confirmed exemption, according to 320 FW 3 | |
Have vehicle operators conducted a safety inspection with a qualified mechanic in the past 12 months? | Yes – vehicle operators must conduct a safety inspection with a qualified mechanic at least once every year, according to 320 FW 3 | |
Do vehicle operators remove keys and fleet cards from vehicles when they are not in use? | Yes – vehicle operators must remove keys and charge cards from vehicles, according to 320 FW 3 | |
Did both Accountable Officers and vehicle operators sign and date fleet charge card statements within 25 days of the statement date on filed statements during the test period? | Yes – Accountable Officers and vehicle operators must sign and date fleet charge card statements within 25 days of the statement date, according to 320 FW 3 | |
Did any charge card records contain out-of-policy charges? | No – acceptable charge card uses are listed in 320 FW 3 | |
Vehicle Disposal | Does the Accountable Officer have any vehicle license plates on hand for vehicles that were disposed of more than 15 days ago? | No – Accountable Officers must dispose of vehicle license plates within 15 days of that vehicle’s disposal, according to 320 FW 4 |
Has the Accountable Officer documented the inspection of all vehicles that were retained when they meet the disposal criteria in a technical inspection form? | Yes – Accountable Officers must justify retaining vehicles that meet the disposal criteria with vehicle inspections, according to 320 FW 4 | |
What percentage of disposed vehicles met the criteria for disposal as described in 320 FW 4? | 100% – Regional Fleet Managers must ensure that vehicles processed for disposal meet the minimum disposal criteria in 320 FW 4 to help maximize the potential proceeds from sale and minimize the overall cost of ownership | |
What percentage of vehicles on hand meet the disposal criteria, but have not been disposed of? | 0% – vehicles that meet the disposal criteria must be disposed of or their retention justified, according to 320 FW 2 and 4 |
REPORTING AND CORRECTIVE ACTION
5.19 How do MCR teams report findings from annual MCRs? An MCE issues an initial MCR report during the MCR, an MCR out-brief on the last day of the review, and a final MCR report after completing the review.
A. The MCR team provides an initial MCR report to duty station leadership at the beginning of the MCR. The initial report includes:
(1) An overview of the MCR process,
(2) The testing approach and sampling technique used, and
(3) A summary of the controls that will be reviewed.
B. The MCR team provides an out-brief to the Project Leader on the last day of the on-site MCR. The Project Leader must meet with the MCE and review the MCR out-brief before the site visit is complete. MCR out-briefs include:
(1) A list of all management control deficiencies identified, and
(2) An overview of suggested corrective actions.
C. The MCR team completes the final MCR report within 5 business days after approval of the MCR out-brief and sends the final report to the reviewed location’s Project Leader. Final MCR reports include:
(1) A detailed evaluation of the management control indicators reviewed,
(2) An assessment of management controls considered deficient based on guidance in 290 FW 3, and
(3) A list of corrective actions and a goal timeline to be completed by station management.
5.20 How does the Service categorize deficient management controls? The Service categorizes deficient management controls into three levels based on their severity in accordance with 290 FW 3:
A. Minor nonmaterial weaknesses are control deficiencies that can be corrected on the spot and do not need to be included in MCR out-briefs.
B. Significant nonmaterial weaknesses are control deficiencies that require more than on-the-spot correction. They should be included in MCR reports and out-briefs, but do not require a follow-up MCR visit.
C. Material weaknesses are control deficiencies that affect critical functions of the reviewed organization. They should be included in MCR reports and out-briefs and require a follow-up visit in the following annual review period.
5.21 What are the Service’s requirements for completing corrective action plans (CAP)? In accordance with 290 FW 3, stations must:
A. Develop a comprehensive CAP based on weaknesses listed in the final MCR report within 180 days of the MCR or by an alternate time frame specified in the report (the CAP must include information on who is responsible for each action item);
B. Report completed corrective actions to Headquarters by certifying completion using either a Microsoft Word document or spreadsheet;
C. Provide supporting documentation for the corrective actions for material weaknesses (although we encourage you to use supporting documentation for corrective actions for nonmaterial weaknesses, it is not required); and
D. Demonstrate that all material weaknesses have been corrected in a follow-up MCR the following year.
ADDITIONAL INFORMATION
5.22 Where can employees find additional information about MCRs? The chapters in Part 290 of the Service Manual have more information about the Service’s management control program.
5.23 Who should employees contact with questions about motor vehicle MCRs? Employees may contact their Regional Fleet Manager or National Fleet Manager with additional questions about the motor vehicle MCR program.