BUILDING A SUCCESSFUL MANAGERS

1
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN
What It Took to Build a Successful Managers
Internal Control Program Mr. Donald
Damstetter Comptroller, U.S. Special Operations
Command 7 December 2006
2
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

• OVERVIEW
• U.S. SOCOM MISSION
• SPECIAL OPERATIONS FORCES TEAM
• THEATER SPECIAL OPERATIONS COMMANDS
• HISTORY and COMPARISON
• PROCESS and EXCERPT
• STRATEGIC SCORECARD and EXAMPLE
• PATH FORWARD
• SUMMARY

Right Place, Right Time, Right Adversary
3
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

• U.S. SOCOM MISSION
• Leads, plans, synchronizes, and as directed,
  executes global operations against terrorist
  networks.
• Trains, organizes, equips and deploys combat
  ready special operations forces to combatant
  commands.

Right Place, Right Time, Right Adversary
4
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

• U.S. SOCOM MISSION
• Leads, plans, synchronizes, and as directed,
  executes global operations against terrorist
  networks.
• Trains, organizes, equips and deploys combat
  ready special operations forces to combatant
  commands.

Right Place, Right Time, Right Adversary
5
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN
6
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN
HISTORY
2002
2003
2006
2005
2004
Nov 02
Nov 06
- OUSD (C) establishes scorecard criteria. -
USSOCOM statement rated worst in DoD.

• Hosted annual workshop.
• Command coordinator conducted 3 staff assistance
  visits.
• Command coordinator created summary spreadsheet
  for senior leadership.
• Results in 3rd place tie on scorecard (2.8).

• Hosted annual workshop.
• Additional training taken by component
  coordinators.
• Command established Senior Assessment Team.
• Command coordinator created tracking system for
  reportable conditions.
• Results in 2nd place on scorecard (3.0).

• - Comptroller established roadmap to strengthen
  written documentation and effectiveness of
  program.
• Hosted workshop for all MICP coordinators.
• Command coordinator conducted 4 staff assistance
  visits.
• Results in 2nd place on scorecard (2.6) and
  Most Improved in DoD

• Statement provided evidence of a program.
• - USSOCOM directive expanded and updated.

Right Place, Right Time, Right Adversary
7
COMPARISON
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN
Right Place, Right Time, Right Adversary
8
PROCESS
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

• Issue financial responsibility and
  accountability memo.
  
  - Quarterly updates to Joint Resources
  Executive Council. - Guidance Letter.

CDR, USSOCOM

• - Coordinate and communicate.
• Sign off on feeder statements.
• - Held accountable by CDR.

HQ Centers, TSOCs, Component Commands
- Joint Resources Mgmt Process (identify
emerging issues). - Strategic Scorecard (review
quarterly).
Comptroller

• Send out annual guidance. - Coordinate inputs.

Program Coordinators
Right Place, Right Time, Right Adversary
9
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

• EXCERPT FROM FINANCIAL RESPONSIBILITY AND
  ACCOUNTABILITY MEMO
• You must ensure an effective internal control
  program is in place to minimize vulnerabilities
  and maximize effective and efficient operations
  and reporting. Any identified material weakness
  requires prompt resolution and a corrective
  action plan. Show progress on a quarterly basis.
• GEN Bryan D. Brown

Right Place, Right Time, Right Adversary
10
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

Right Place, Right Time, Right Adversary
11
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

Right Place, Right Time, Right Adversary
12
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

• INTERNAL CONTROL PATH FORWARD
• Increase Program Awareness.
• Workshops, staff assistance visits and briefs.
• Portal creation.
• Update Directive/Guidance.
• Increase Focus on Stewardship and Accountability.
• Continue Monitoring of Program with Emphasis on
  Material Weaknesses.

Right Place, Right Time, Right Adversary
13
BUILDING A SUCCESSFUL MANAGERS INTERNAL CONTROL
PLAN

• SUMMARY
• Maintain management support.
• Increase communication throughout Command.
• Implement revised directive.
• Institute quarterly reporting of material
  weakness status.

Right Place, Right Time, Right Adversary