R 292053Z APR 13
UNCLASSIFIED/
MARADMIN 226/13
MSGID/GENADMIN/CMC WASHINGTON DC IG (UC)/F002//
SUBJ/DEPARTMENT OF THE NAVY ANNUAL RISK AND OPPORTUNITY ASSESSMENT (ROA) FOR FY2014//
REF/A/DEPARTMENT OF THE NAVY (DON) OVERSIGHT PLANNING BOARD CHARTER/15 JUN 2004// 
REF/B/MEMORANDUM FROM NAVAL INSPECTOR GENERAL (NAVINSGEN)/19 APR 2013//
NARR/REF/A/ IS THE DON OVERSIGHT PLANNING BOARD CHARTER/ REF/B/IS THE MEMORANDUM FROM NAVINSGEN//
POC/B. LOWE/COL/UNIT:IGMC/NAME:WASHINGTON DC/TEL:703-604-4529/EMAIL:BRADLEY.LOWE(AT)USMC.MIL//
POC/J. NEAL/LTCOL/UNIT:IGMC/NAME:WASHINGTON DC/TEL:703-604-4625/EMAIL:JAMES.NEAL1(AT)USMC.MIL//
GENTEXT/REMARKS/1. FOR ACTION BY MARINE FORCES (MARFOR) COMMANDERS, COMMAND INSPECTORS GENERAL (CIG) AND HEADQUARTERS MARINE CORPS AGENCIES.
2. 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 RISK AND OPPORTUNITIES.  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 NAVINSGEN'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 IDENTIFY MAJOR RISK CATEGORIES WITHIN THE MARINE CORPS THAT ARE SUSCEPTIBLE TO FRAUD, WASTE, ABUSE, INEFFICIENCY, MISMANAGEMENT, AND STATUTORY AND REGULATORY NONCOMPLIANCE. RISK ARE DEFINED AS SYSTEMIC DEPARTMENT OF THE NAVY ISSUES REQUIRING EXECUTIVE-LEVEL ATTENTION; PROGRAMMATIC AND INSTITUTIONAL RISKS THAT REPRESENT SIGNIFICANT CORPORATE-LEVEL CHALLENGES; OR AREAS OF CONCERN WHICH AFFECT THE MARFOR AND OR OTHER UNITS THROUGHOUT THE FLEET. THIS PROCESS WILL IDENTIFY OCCASIONS FOR USING THE DON'S INSPECTION, EVALUATION, AND AUDIT FUNCTIONS TO STRENGTHEN THE DEPARTMENT, IN ADDITION TO IDENTIFYING OPPORTUNITIES WITHIN DON THAT CAN BE EXPLOITED BY THE NAVY AND THE MARINE CORPS.  THE ASSESSMENT WILL SERVE AS A BASIS FOR STRUCTURING THE DON'S FISCAL YEAR 2014 OVERSIGHT PLAN. OPPORTUNITIES ARE DEFINED AS A SPECIFIC SOLUTION TO A PRE-EXISTING CONDITION THAT IS BEING HANDLED LOCALLY, BUT CAN BE SHARED AS A BEST PRACTICE OR OPPORTUNITY FOR OTHERS TO EMULATE. THE UTILITY OF THIS EFFORT WILL ENABLE DON LEADERSHIP TO EFFICIENTLY FOCUS ITS OVERSIGHT EFFORTS WHERE POTENTIAL PROBLEMS LIE.
4. TO ACCOMPLISH THIS YEAR'S ROA, THE ADDRESSED CIGS WILL CONSOLIDATE SUBMISSIONS FOR THEIR SUBORDINATE COMMANDS AND PROVIDE WORD DOCUMENT INPUT TO IGMC VIA THE APPROPRIATE MARFOR COMMANDER. THE IGMC WILL COPY PASTE EACH RESPONSE INTO THE RISK AND OPPORTUNITY ASSESSMENT APPLICATION (ROAA) WEB-BASED COLLECTION TOOL AFTER IT IS REVIEWED.  THE FOLLOWING STEPS WILL GUIDE YOU THROUGH THE REQUIREMENTS:
A. FOR ANY FY2013 (PREVIOUS YEAR) SUBMISSION, EVALUATE EACH OF YOUR 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 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.
D. ADD ANY RISKS AND OPPORTUNITIES YOU DEEM APPROPRIATE THAT WERE NOT INCLUDED IN PRIOR YEARS. SUBMISSIONS WILL BE MADE IN THE FOLLOWING FORMAT:
   4.D.1. ORIGINATED BY:(ORGANIZATION)
   4.D.2. STATUS:(PENDING)
   4.D.3. ACTION:(NEW OR RESUBMITTED)
   4.D.4. PRIORITY:(HIGH, MEDIUM, LOW)
   4.D.5. RISK POC:(NAME, PHONE NO., AND E-MAIL ADDRESS)
   4.D.6. FUNCTIONAL AREA:(E.G., INTEL, SECURITY, ETC.)
   4.D.7. TYPE:(RISK OR OPPORTUNITY)
   4.D.8. DESCRIPTION OF VULNERABILITY/STATEMENT OF OPPORTUNITY:
   4.D.9. IMPACT JUSTIFICATION:
E. PROVIDE AS MUCH ANALYSIS AND DATA TO HELP SUPPORT AND VALIDATE YOUR SUBMISSION.  IT IS IMPORTANT TO NOTE THE STRATEGIC IMPACT OF THIS ASSESSMENT ON THE DON.
F. SUBMISSIONS ARE DUE BY COB 20 MAY 2013.
G. ENSURE RESPONSE TO THE DATA CALL IS ACCOMPANIED BY A COVER LETTER SIGNED BY THE MARFOR COMMANDING GENERAL OR APPOINTED REPRESENTATIVE.
5. THIS MESSAGE HAS BEEN AUTHORIZED FOR RELEASE BY MAJGEN JUAN G. AYALA, INSPECTOR GENERAL OF THE MARINE CORPS.//