R 081713Z MAR 11
UNCLASSIFIED//
MARADMIN 153/11
MSGID/GENADMIN,USMTF,2007/CMC WASHINGTON DC IG(UC)/F002//
SUBJ/DEPARTMENT OF THE NAVY ANNUAL RISK AND OPPORTUNITY ASSESSMENT (ROA) FOR FY2012//
REF A DEPT OF THE NAVY (DON) OVERSIGHT PLANNING BOARD CHARTER/15 JUN 04//
REF/B/MEMORANDUM FROM SECNAV/16 FEB 11//
REF/C/MEMORANDUM FROM NAVAL INSPECTOR GENERAL/02 MAR 11//
NARR/REF A IS THE DON OVERSIGHT PLANNING BOARD CHARTER.  REF B IS THE MEMORANDUM FROM SECNAV (NOTAL).  REF C IS THE NAVAL INSPECTOR GENERAL'S DIRECTION FOR ALL DON UNITS TO PARTICIPATE IN THIS ASSESSMENT.//
POC/A. HODGES/COL/UNIT:IGMC/NAME:WASHINGTON DC/TEL:703-695-3090//
GENTEXT/REMARKS/1. FOR ACTION BY COMMAND IG'S AND HEADQUARTERS MARINE CORPS AGENCIES.
2. REF A DIRECTS THE NAVAL INSPECTOR GENERAL (IG), NAVAL AUDIT SERVICE, NAVAL CRIMINAL INVESTIGATIVE SERVICE, AND THE IG OF THE MARINE CORPS (IGMC) TO LEAD AN ANNUAL ASSESSMENT OF VULNERABILITIES TO RISK AND OPPORTUNITIES FOR IMPROVEMENT.  THIS ANNUAL ASSESSMENT IDENTIFIES AND BRINGS TOGETHER THE DON'S POTENTIAL RISKS AND OPPORTUNITIES FOR IMPROVEMENT AND ALLOWS SENIOR LEADERS TO PRIORITIZE THEM FOR MANAGEMENT ATTENTION.  REF B IS THE SECNAV MEMO SUPPORTING THIS ASSESSMENT AND DIRECTING ITS HIGHEST PRIORITY.  REF C IS THE NAVAL INSPECTOR GENERAL'S DIRECTION FOR ALL DON UNITS TO PARTICIPATE IN THIS ASSESSMENT.
3. PURPOSE.  PER THE REFERENCES, THE IGMC IS SOLICITING INPUT FOR THE ANNUAL ROA.  THE PURPOSE OF THE ROA IS TO DEVELOP THE MAJOR RISK CATEGORIES WITHIN THE MARINE CORPS THAT ARE SUSCEPTIBILE TO FRAUD, WASTE, ABUSE, INEFFICIENCY, MISMANAGEMENT, AND STATUTORY AND REGULATORY NONCOMPLIANCE. THE ASSESSMENT SHOULD IDENTIFY THE MAJOR OPPORTUNITIES FOR USING THE DON'S INSPECTION, EVALUATION, AND AUDIT FUNCTIONS TO STRENGTHEN THE DEPARTMENT. THE ASSESSMENT WILL SERVE AS A BASIS FOR STRUCTURING THE DON'S FISCAL YEAR 2012 OVERSIGHT PLAN. THE UTILITY OF THIS EFFORT WILL ENABLE DON LEADERSHIP TO MORE EFFICIENTLY FOCUS ITS OVERSIGHT EFFORTS WHERE POTENTIAL PROBLEMS LIE.
4.  IN ORDER TO SUPPORT THE TIMELY REVIEW, IGMC WILL PROCESS AND CONSOLIDATE ALL FIELD INPUTS AND UPDATE THE ROA DATA AT HQMC. FIELD INPUTS ARE REQUIRED NO LATER THAN FRIDAY, 1 APRIL 2011. DATA SUBMISSIONS ARE NOT REQUIRED, HOWEVER, A NEGATIVE RESPONSE IS REQUIRED. 
5.  INPUT WILL BE SUBMITTED TO THE IGMC VIA WORD DOCUMENT IN ORDER TO AVOID ISSUES WITH THE RISK AND OPPORTUNITY ASSESSMENT APPLICATION (ROAA), THE WEB-BASED COLLECTION TOOL, THE IGMC WILL COPY-PASTE EACH RESPONSE INTO THE ROAA DATA BASE AFTER IT IS REVIEWED.
6.  TO ACCOMPLISH THIS YEAR'S ROA, EACH ORGANIZATION'S COMMAND INSPECTOR GENERAL IS REQUIRED TO PERFORM THE FOLLOWING STEPS:
A.  EVALUATE EACH OF YOUR PREVIOUSLY SUBMITTED RISKS AND OPPORTUNITIES.
B.  RESUBMIT THOSE RISKS AND OPPORTUNITIES THAT ARE STILL APPLICABLE AND UPDATE LAST YEAR'S SUBMISSION WITH NEW INFORMATION; OR C.  REQUEST TO REMOVE THOSE RISKS AND OPPORTUNITIES THAT ARE NO LONGER CURRENT AND/OR RELEVANT WITH AN EXPLANATION FOR NOT RESUBMITTING (NOTE: ALL PREVIOUS SUBMISSIONS WILL BE RETURNED VIA SEPARATE CORRESPONDENCE).
D.  ADD ANY RISKS AND OPPORTUNITIES YOU DEEM APPROPRIATE THAT WERE NOT INCLUDED IN PRIOR YEARS.  SUBMISSIONS WILL BE MADE IN THE FOLLOWING FORMAT:
    6.D.1. ORIGINATED BY: (ORGANIZATION)
    6.D.2. STATUS: (USUALLY PENDING)
    6.D.3. ACTION: (NEW OR RESUBMITTED)
    6.D.4. RISK POC: (NAME, PHONE NO., AND E-MAIL ADDRESS)
    6.D.5. FUNCTIONAL AREA: (E.G., INTEL, SECURITY, ETC)
    6.D.6. TYPE: (RISK OR OPPORTUNITY)
    6.D.7. DESCRIPTION OF VULNERABILITY/STATEMENT OF OPPORTUNITY:
    6.D.8. IMPACT JUSTIFICATION:
E.  PROVIDE AS MUCH ANALYSIS AND DATA TO HELP SUPPORT AND VALIDATE YOUR SUBMISSION.  IT IS IMPORTANT TO  NOTE THE STRATEGIC IMPACT ON THE DON OF THIS ASSESSMENT. 
F.  ENSURE RESPONSE TO THE DATA CALL IS ACCOMPANIED BY A COVER LETTER, SIGNED BY A GENERAL OFFICER.
7.  THIS MESSAGE HAS BEEN AUTHORIZED FOR RELEASE BY BGEN KENNETH J. LEE, INSPECTOR GENERAL OF THE MARINE CORPS.//