# Presentation: 708237

## 
Rockville
January 11th , 2006

**Rockville**
**January 11****th**** , 2006**

**OMB A123****The DOE Implementation Program****Quick Start Guides &****Tools****Overview****Dean Childs**

***Practical Guidance, Tools and Templates***

## Introduction & Background

Overview
A123 DOE QuickStart Guides
A123 DOE Tools

Demonstration and Walkthrough of the DOE A-123 Process
Planning
Documenting
Evaluating
Testing

Wrap up

Questions & Answers

Late Session: Questions, Discussion, Demos, One on One Sessions

- Introduction & Background
- Overview
- A123 DOE QuickStart Guides
- A123 DOE Tools
- Demonstration and Walkthrough of the DOE A-123 Process
- Planning
- Documenting
- Evaluating
- Testing
- Wrap up
- Questions & Answers
- Late Session: Questions, Discussion, Demos, One on One Sessions

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## The Attestation

**Fiscal Year 2006 - Annual Assurance Statement on Internal Control over Financial Reporting**
- The DOE management is responsible for establishing and maintaining effective internal control over financial reporting, which includes safeguarding of assets and compliance with applicable laws and regulations. The DOE conducted its assessment of the effectiveness of the DOE’s internal control over financial reporting in accordance with OMB Circular A-123, Management’s Responsibility for Internal Control. **Based on the results of this evaluation, the DOE can provide reasonable assurance that internal control over financial reporting as of June 30, 2006 was operating effectively and no material weaknesses were found in the design or operation of the internal controls over financial reporting**.
- ____________________________________
- Secretary of DOE: Samuel W. Bodman

**Balance Sheet**

- Assets	               MM$
- - Accounts Receivable   1,326,769
- Liabilities
- - Accounts Payable        2,546,769

**Financial Reports**

**Financial reports include**: *annual financial statements (*), quarterly financial statements (*);* financial statements at the operating division or program level; budget execution reports; reports used to monitor specific activities such as specific revenues, receivables, or liabilities; reports used to monitor compliance with laws and regulations such as the Anti-Deficiency Act, etc.
- (*) required for FY 2006

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## OMB A123 Process

**OMB A123 Process**

**Balance Sheet**

- Assets	               MM$
- - Accounts Receivable   1,326,769
- Liabilities
- - Accounts Payable        2,546,769

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## A123 Process

**Planning**

**Documenting**

**Evaluating**

**Testing**

**Remediation**

**Reporting**

**Initial**
**Remediation**
**Identified**

-  Establish Site Assessment Team (SAT)
-  Determine Contractor Management Strategy
-  Select Relevant Material Accounts
-  Complete Site Implementation Plan

-  Identify and Document Processes and Sub-Processes
-  Identify and Document Sub-Process Risks and Controls
-  Document Entity Risks and Controls

-  Perform Risk Assessment
-  Assess Process and Sub-Process Control Design Effectiveness
-  Assess Entity Control Design Effectiveness

-  Develop Test Plan
-  Execute Test Plan
-  Assess Test Results

-  Develop Quarterly Reports
-  Develop Final Report
-  Deliver Assurance Statement

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## A123 QuickStart Overview

**A123 QuickStart Overview**

- Define resources,  timelines

**Implementation**
** ****Plan**

**Field Office-AART**

- Define material accounts and processes

- Document Processes, Risks & Controls

- Document organization Risks & Controls

- Evaluate and Summarize Process Risks & Controls

- Evaluate and Summarize Entity Controls

**Site-AART**

**Planning**

**Documenting**

**Evaluating**

**Field Office-AART**

- Provide Quarterly Reports and Updates

**Final Report**

**Quarterly Report**

**Reporting**

**Site-AART & Field Office-AART**

- Develop Remediation Plan

- Validate Remediation Plan

**Remediation Plan**

**Remediation**

**Field Office-AART**

- Implement Remediation Plan

**Site-AART**

- Develop Test Plan

**Site-AART**

**Testing**

**Field Office-AART**

- Conduct Test Plan

**Site-AART**

- Update Field Office-AART

- Update Field Office-AART

- Update Field Office-AART

- Develop Final
- Report

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## DOE A123 Web Site & Hotline

**QuickStart Guides**
**Tools**
**Templates**
**Tutorials**

**Help Desk: 301 903 3937**

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## Reporting and Assurance Flow

**Reporting and Assurance Flow**

**Secretary**

**DICARC**

**CFO**

**LPSO**

**Field Office**

**Site**

**A123 SrAT &**
**Proj Mgmt Team**

***Field ***
***QSGs & Tools***

***Program***
***QSGs & Tools***

***Corporate***
***Policies & Governance***

-  Assurance Flow

-  Reporting Flow

- Legend

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## 1/15/2006
Complete Planning Phase
First Quarterly Report
2/15/2006
Identify initial remediation activities
Complete Documentation Phase
3/15/2006
Complete Evaluation Phase 
Testing Plans  3/30
4/15/2006
2nd Quarterly Report
7/15/2006
3rd Quarterly Report
9/1/2006
Complete Testing Phase
Annual Report
9/15/2006 
Field Assurance to LPSO

- 1/15/2006
- Complete Planning Phase
- First Quarterly Report
- 2/15/2006
- Identify initial remediation activities
- Complete Documentation Phase
- 3/15/2006
- Complete Evaluation Phase
- Testing Plans  3/30
- 4/15/2006
- 2nd Quarterly Report
- 7/15/2006
- 3rd Quarterly Report
- 9/1/2006
- Complete Testing Phase
- Annual Report
- 9/15/2006
- Field Assurance to LPSO

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## Questions ?Discussion

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