Responsiblities

Definitions - CI_5700_100004

The Senior Assessment Team (SAT)

Coast Guard Internal Control Program
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COMDTINST 5700.10

f. Supporting Process Manager (SPM). An SPM is a manager responsible for an essential

component or part of a Key Process. The SPM assists the KPM in carrying out the KPM's

responsibilities under this Instruction. Enclosure (2) contains a list of SPMs for the CG financial

reporting processes.

8. RESPONSIBILITIES.

a. The Chief of Staff shall:

(1) Act as Chairperson of the EAICC;

(2) Appoint SES/Flag level EAICC members from Planning, Resources, and Procurement (CG-

8): Human Resources (CG-1); Engineering and Logistics (CG-4); Acquisition Directorate

(G-A); the Judge Advocate General of the CG (G-L); Integrated Deepwater System Program

(G-D), Command, Control, Communications, Computers & Information Technology (CG-6)

and the Maintenance and Logistics Commands (MLCs);

(3) Appoint additional EAICC members as the scope of the Committee's work expands beyond

financial reporting.

b. The Chief Financial Officer (CFO) (CG-8d) shall:

(1)

Facilitate the management implementation of the IC Program for the EAICC;

(2)

Develop initial process and control documentation for use by KPMs;

(3)

Develop and provide CG IC Program training;

(4)

Develop an annual calendar of activities and milestones to be followed in implementing the

CG IC Program;

(5)

Prepare and submit the annual assurance statements required by Attachment (4) to the

Commandant for review and approval;

(6)

Submit approved annual assurance statements to DHS;

(7)

Provide all necessary administrative support to the EAICC; and

(8)

Designate the Office of Internal Control and Asset Management (CG-842) as the CG Senior

Assessment Team and as point-of-contact, coordinator and principal technical advisor for all

CG IC Program activities.

c. The Executive Audit & Internal Control Committee (EAICC) shall:

(1) Identify resource requirements and funding needed to support an effective IC Program;

(2) Gain an understanding of internal controls as they apply to the CG;

(3) Establish and maintain an IC Program that incorporates appropriate information technology

and meets Federal requirements applicable to the CG;

(4) Provide senior management oversight of the IC Program;

(5) Approve the list of Key Processes for the CG;

(6) Assign Key Process Managers;

(7) Approve the design, methodology and scope of Key Process assessments;

(8) Ensure that assessments are carried out in a thorough, effective, and timely manner by

approving Key Process evaluation tools and reviewing results;

(9) Advise the CFO and Commandant on the annual assurance statements for CG internal

controls to be submitted in accordance with the reporting requirements of Enclosure (4); and

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