Naval Criminal Investigative Service Managers’ Internal Control (MIC) Plan, September 2015

Naval Criminal Investigative Service Managers’ Internal Control (MIC) Plan, September 2015

Background

Overview of the MIC Plan within the Organization:

Control Environment

Mission

The NCIS mission is to conduct criminal, counterintelligence, terrorism related investigations and operations, and to provide security services as delineated in SECNAVINST 5430.107. In short, the NCIS mission is to “Prevent Terrorism, Protect Secrets and Reduce Crime.”

Strategic Plan

The current NCIS Strategic Plan provides the overarching strategy for the organization.

Director’s guidance and program direction documents provide annual goals and objectives. An updated long term strategic plan is in development.

Organizational Structure

NCIS senior leadership is organized into a headquarters element, consisting of the Director, Deputy Director, Principal Executive Assistant Director for Management and Administration (PEAD), 6 Executive Assistant Directors, programmatic Deputy Assistant Directors, Special Agents In Charge and 13 field offices. Areas of responsibility for field elements are delineated in the NCIS-2 Office Directory.

The internal controls (IC) reporting chain follows established organizational lines of authority from assessable units to the Executive Assistant Director (EAD)/ Assistant Director (AD) level and then to the MIC coordinator. Addendum 1 provides an inventory of assessable units and assessable unit managers.

Funding within NCIS flows from the comptroller to EADs/ADs and Deputy Assistant Directors (DAD) at NCIS headquarters and geographic EADs to Special Agents In Charge (SACs) at field offices who are provided annual budgets to execute their assigned functions .

Risk Assessment

NCIS leaders and the MIC coordinator conduct risk assessments throughout the year to identify assess and prioritize control risks associated with accomplishing the NCIS mission. Results of self-inspections, management visits, audits, inspections, monitoring of programs, inquiries and investigations, are reviewed to identify risk.

Control Activities

NCIS program managers are responsible for identifying and developing appropriate control activities to ensure the accomplishment of assigned missions. Control activities are documented in NCIS manuals, policy documents, instructions, field office performance plans, and in this MIC Plan. In some instances there are two levels of control activities in a specific risk area, one in the field and one in NCIS headquarters. NCIS program managers are responsible for monitoring their programs in conjunction with field office leadership and with the NCIS IG to ensure control activities are not just appropriate for the activity, but are being exercised as intended. The MIC senior management official may also order spot checks/control assessments for specific activities that affect the NCIS organization and mission.

Declassified Document

 Naval Criminal Investigative Service Managers’ Internal Control (MIC) Plan, September 2015 [11 Pages, 1.5MB]

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