The overall classification of this

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Presentations text content in The overall classification of this

Slide1

The overall classification of this

Training is:UNCLASSIFIED

Managers’ Internal Control Program (MICP)FY2013 Workshop

Slide2

Identifying Assessable Units

and

Coverage Breadth

Managers’ Internal Control

Program

Slide3

Identifying Assessable Units and Coverage Breadth

Objectives

Understand why we need assessable units

Understand what is an assessable unit

Be able to identify assessable units

Be able to explain the roles of assessable unit managers

Describe the coverage and breadth of your assessable units

Slide4

What is an Assessable Unit?

Any organizational, functional, programmatic or other applicable subdivision of an organization that allows for adequate analysis.

The assessable unit is required to have an appointed and adequately trained assessable unit manager.

Identifying Assessable Units and Coverage Breadth

Slide5

What Are Assessable Units?

Distinct organizational functions

Reoccurring processes

Critical to mission

Clearly recognizable

Independent

Identifying Assessable Units and Coverage Breadth

Slide6

What are functions?

Activities that consume time

Have dedicated staffAddress organizational initiatives

Result in major work products

Carry out significant objectives/goals

Identifying Assessable Units and Coverage Breadth

Slide7

Soldiers

Receive Pre-Airborne Operation Instructions from Trained Jumpmaster, who attended Jumpmaster Course.

T10-C Parachutes Issued by the Quartermaster/Supply activity.

Prior

to Loading Aircraft

–Jumpmaster Inspects Soldiers equipment.

Jumpmaster

identified

T10-C

Static Lines Separated (Cut

) and operation ceased.

Investigation team conducts formal investigation .

1995 – Division Airborne Operation Static Line Incident

Identifying Assessable Units and Coverage Breadth

Slide8

Why do we need to identify Assessable Units?

Systematic way to leverage the internal controls of the organization

Identify the role/function

the assessable unit

performs for mission or objective success

Facilitates evaluations and remedies

Includes management in the process

Identifying Assessable Units and Coverage Breadth

Slide9

Do I use an Organization Chart to Identify Assessable Units?

Identifying Assessable Units and Coverage Breadth

Slide10

How do I identify Assessable Units?

Alert rosters

Phone rostersDistribution lists

Walk around the area and observe

Organization charts

Identifying Assessable Units and Coverage Breadth

Slide11

Don’t forget to include these ways of identifying Assessable Units:

Committees

Satellite/Regional OfficesBoards or Governing Bodies

Chain of Command Approach

Identifying Assessable Units and Coverage Breadth

Slide12

Examples of Assessable Units:

Administrative Office

Finance OfficeSafety Office

Security Office

Medical Office

Planning Division

Operations Division

Identifying Assessable Units and Coverage Breadth

Slide13

Example of Assessable Unit Segmentation:

Administrative Office

AwardsEvaluations

Orders

Leaves/Passes

Promotions

Payroll

Identifying Assessable Units and Coverage Breadth

Slide14

Assessable Units – Other Examples

Activity – Open Discussion

How do you identify assessable units within your organization?What other assessable units do you have?

Do impediments exist that make it difficult to identify or recognize assessable units?

Are your assessable units consistent in their approach to further segmentation?

Identifying Assessable Units and Coverage Breadth

Slide15

What are the benefits of identifying Assessable Units

?

Documenting mission areas

Ensures areas are appropriately managed

Ensures responsibilities have been properly designated

Ensures appropriate involvement of personnel

Permits effective evaluation of internal controls

Identifying Assessable Units and Coverage Breadth

Slide16

23

Dec C-23 lands on airfield and reports construction done on runway that requires a formal Notice To Airmen (NOTAM).

No NOTAM transmitted.29

Dec C-130 Lands in the night crashing and totaling aircraft.

Mission

support on airstrip

ceased throughout investigation and repair work.

2004 – C130 Hercules Crashes on Field Landing Strip

Identifying Assessable Units and Coverage Breadth

Slide17

Who Manages Assessable Units?

Department/Division/Chief/Director

Senior Management with primary/direct responsibility

Appointed by the Commander/Principal

Individuals who know the day-to-day operations

Identifying Assessable Units and Coverage Breadth

Slide18

What are the Roles of the Assessable Unit Manager?

Ensure all mission areas are covered

Ensure all risk assessments are conducted/reviewed

Ensure internal controls are in place to mitigate identified risks

Ensure internal controls are documented and tested

Oversee and monitor corrective actions for all weaknesses identified

Appoint and inventory MICP responsible individuals

Identifying Assessable Units and Coverage Breadth

Slide19

Assessable Unit Inventory - Example

Identifying Assessable Units and Coverage Breadth

Slide20

Assessable Unit Inventory - Example

Identifying Assessable Units and Coverage Breadth

Slide21

Assessable Unit Inventory - Example

Identifying Assessable Units and Coverage Breadth

Slide22

Assessable Unit Managers – Other Examples

Activity – Open Discussion

What level are your assessable unit managers?Do they direct evaluations?

Do they address weaknesses identified?

Do they have direct communication with the Commander/Principal?

How frequent do MICP Coordinators communicate with assessable unit Managers?

Identifying Assessable Units and Coverage Breadth

Slide23

Do you have proper Coverage?

Identifying Assessable Units and Coverage Breadth

Slide24

Do you have proper Coverage?

Look at your organization

Are all risks addressed?Are assessable units identified for all areas of risk?

Are all material (major) functions/activities evaluated?

Extremely

subjective

Identifying Assessable Units and Coverage Breadth

Slide25

Assessment of Our Objectives

Understand why we need assessable units

Understand what is an assessable unit Be able to identify assessable units

Be able to explain the roles of assessable unit managers

Describe the coverage and breadth of your assessable units.

Identifying Assessable Units and Coverage Breadth

Slide26

Questions ?

Identifying Assessable Units and Coverage Breadth

Slide27


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