DEPARTMENT OF THE NAVY ANNUAL RISK AND OPPORTUNITY ASSESSMENT (ROA) FOR FY2015

Date Signed: 4/09/2014
MARADMINS Active Number: 188/14

R 081731Z APR 14
UNCLASSIFIED/
MARADMIN 188/14
MSGID/GENADMIN/CMC WASHINGTON DC IG (UC)/F002//
SUBJ/DEPARTMENT OF THE NAVY ANNUAL RISK AND OPPORTUNITY ASSESSMENT (ROA) FOR FY2015//
REF/A/DEPARTMENT OF THE NAVY (DON) OVERSIGHT PLANNING BOARD CHARTER/20040615//
REF/B/MEMORANDUM FROM NAVAL INSPECTOR GENERAL (NAVINSGEN)/20140305//
NARR/REF A DIRECTS THE NAVINSGEN, NAVAL AUDIT SERVICE, NAVAL CRIMINAL INVESTIGATIVE SERVICE, AND THE INSPECTOR GENERAL OF THE MARINE CORPS (IGMC) TO LEAD AN ANNUAL ASSESSMENT OF RISKS AND OPPORTUNITIES.  THIS ANNUAL ASSESSMENT IDENTIFIES AND COLATES THE DON'S POTENTIAL RISKS AND OPPORTUNITIES FOR IMPROVEMENT AND ALLOWS SENIOR LEADERS TO PRIORITIZE THEM. REF B DIRECTS ALL DON UNITS TO PARTICIPATE IN THIS ASSESSMENT.//
POC/A. TRIMBLE/COL/UNIT: IGMC/-/TEL: 703-604-4529/ EMAIL:ALPHONSO.TRIMBLE(AT)USMC.MIL//
POC/S. ALICKA/MAJ/UNIT: IGMC/-/TEL: 703-604-4619/ EMAIL:SKEN.ALICKA(AT)USMC.MIL//
GENTEXT/REMARKS/1.  FOR ACTION BY MARINE FORCES (MARFOR) COMMANDERS, COMMAND INSPECTORS GENERAL (CIG) AND HEADQUARTERS MARINE CORPS AGENCIES.
2.  PURPOSE. PER THE REFERENCES, THE IGMC IS SOLICITING INPUT FOR THE ANNUAL ROA. THE PURPOSE OF THE ROA IS TO IDENTIFY MAJOR RISK CATEGORIES WITHIN THE MARINE CORPS THAT ARE SUSCEPTIBLE TO FRAUD, WASTE, ABUSE, INEFFICIENCY, MISMANAGEMENT, AND STATUTORY AND REGULATORY NONCOMPLIANCE. THIS PROCESS WILL ALSO IDENTIFY OPPORTUNITIES FOR USING THE DON'S INSPECTION, EVALUATION AND AUDIT FUNCTIONS TO STRENGTHEN THE DEPARTMENT. IT IS ALSO AN OCCASION TO IDENTIFY SYSTEMIC TRENDS. THE ASSESSMENT WILL SERVE AS A BASIS FOR STRUCTURING THE DON'S FISCAL YEAR 2015 OVERSIGHT PLAN. THE UTILITY OF THIS EFFORT WILL ENABLE THE DON LEADERSHIP TO EFFICIENTLY FOCUS ITS OVERSIGHT EFFORTS.
3.  COORDINATING INSTRUCTIONS.  CIGS WILL CONSOLIDATE SUBMISSIONS FOR THEIR RESPECTIVE COMMANDS AND SUBMIT INPUTS TO IGMC VIA THE APPROPRIATE MARFOR COMMANDER USING STANDARD NAVAL CORRESPONDENCE.  THE IGMC WILL REVIEW SUBMISSIONS AND INPUT VETTED RESPONSES INTO THE RISK AND OPPORTUNITY ASSESSMENT APPLICATION (ROAA) WEB-BASED COLLECTION TOOL. THE FOLLOWING STEPS WILL GUIDE YOU THROUGH THE REQUIREMENTS:
    A. FOR ANY FY2014 SUBMISSIONS, EVALUATE EACH PREVIOUSLY SUBMITTED RISKS AND OPPORTUNITIES AND DETERMINE IF THEY SHOULD BE DELETED OR RESUBMITTED.
    B. RESUBMIT THOSE RISKS AND OPPORTUNITIES THAT ARE STILL APPLICABLE AND UPDATE 2014 SUBMISSIONS WITH NEW INFORMATION; OR
    C. REQUEST TO REMOVE THOSE PRIOR YEAR RISK SUBMISSIONS THAT ARE NO LONGER CURRENT OR RELEVANT WITH AN EXPLANATION FOR NOT RESUBMITTING.
    D. ADD ANY NEW RISK AND OPPORTUNITY DEEMED APPROPRIATE THAT WERE NOT INCLUDED IN PRIOR YEARS.  SUBMISSIONS WILL BE MADE IN THE FOLLOWING FORMAT:
        (1) ORIGINATED BY:  (ORGANIZATION)
        (2) STATUS:(PENDING)
        (3) ACTION:(NEW OR RESUBMITTED)
        (4) PRIORITY:(HIGH, MEDIUM, LOW)
        (5) RISK POC:(NAME, PHONE NO., AND E-MAIL ADDRESS)
        (6) FUNCTIONAL AREA:(E.G., INTEL, SECURITY, ETC.)
        (7) TYPE:(RISK OR OPPORTUNITY)
        (8) DESCRIPTION OF VULNERABILITY/STATEMENT OF OPPORTUNITY:
        (9) IMPACT JUSTIFICATION: (PROVIDE RATIONALE AND SUPPORTING DATA TO HELP CLARIFY AND VALIDATE YOUR SUBMISSION)
4.  SUBMISSIONS ARE DUE BY COB 25 APRIL 2014.
5.  ENSURE RESPONSE TO THIS DATA CALL HAS BEEN ENDORSED BY MARFOR COMMANDING GENERALS OR THEIR DESIGNATED BY DIRECTION AUTHORITY.
6.  NEGATIVE RESPONSES ARE REQUIRED AS APPROVED BY MARFOR COMMANDING GENERALS OR THEIR DESIGNATED BY DIRECTION AUTHORITY STATING THAT THERE WILL BE NO INPUT.
7.  THIS MESSAGE HAS BEEN AUTHORIZED FOR RELEASE BY MR. CARLYLE SHELTON, JR., ACTING INSPECTOR GENERAL OF THE MARINE CORPS.//