ACN 154/19 - DEC 2019 ASSESSMENT, INSPECTION AND AUDIT (AIA) UPDATE AND PHASES OF IMPLEMENTATION

united states coast guard

ALCOAST COMMANDANT NOTICE                      CANCEL DATE  16 DEC 2020


R 171002 DEC 19  
FM COMCOGARD FORCECOM NORFOLK VA//FC-C//
TO ALCOAST
UNCLAS //N05040//
ACN 154/19
SUBJ:  ASSESSMENT, INSPECTION AND AUDIT (AIA) UPDATE AND PHASES OF IMPLEMENTATION
A. Coast Guard Assessment, Inspection, and Audit Governance, COMDTINST 5040.6 (series)
B. Coast Guard Assessment, Inspection, and Audit (AIA) Business Rules,
FORCECOMINST M5040.6 (series)
1. Having returned an average of 541 operational days per year to the field,
the Assessment, Inspection, and Audit (AIA) Governance Office is moving to the next
phase of AIA governance enroute to the modern vision of AIA.
    a. Modern vision of AIA: AIA visits and unit self-assessments measure compliance
with policy using a validated checklist, and evaluate performance through drills and
subjective checks. That data is fed into a data system that provides transparency and
trends to programs and operational commanders, then the AIA rapidly provides a tailored
readiness support package for the unit. The interventions provided will range across
all performance factors – Skills, Knowledge, Tools, Resources, Environment, Assignment,
Policy, Incentives, etc.
2. Updated Phases of Implementation (each phase will build on and continue the
practices of the previous phase):
    a. AIA 1.0 Initial Governance implementation (complete in FY20)
       1.1: Categorize into AIA, AIA-Exempt, Non-AIA
       1.2: Validate all current checklists
       1.3: Establish scheduling rules
       1.4: Continue annual In-Step Reviews and quadrennial Validations
       1.5: Re-evaluate “AIA Exempt” entities for possible Validation
       1.6: AIA GO Finance and Scheduling Team (FAST) concept piloted
    b. AIA 2.0: Provide Informatics (complete in FY22)
       2.1: Develop scheduling transparency tool
       2.2: Develop active checklist collection sites
       2.3: Provide iDashboards displays
       2.4: Provide Legacy data reports
       2.5: Provide CGBI cube/reports
    c. AIA 3.0: Standardize Evaluation of Performance (complete in FY25)
       3.1: Convene Board of Experts to standardize proficiency metrics,
beginning with the Apprentice, Journeyman, Master model
       3.2: Establish standardized criteria for subjective checks
       3.3: Establish standardized drill criteria
       3.4: Establish standardized format for entering subjective data
into data system
       3.5: Establish Auditing criteria for auditing of risk controls
    d. AIA 4.0: Deliver Tailored Readiness Support (complete in FY25)
       4.1: Identify root causes of performance gaps.
       4.2: Develop process to interventions
       4.3: Create process to develop assign owners of interventions
       4.4: Develop process to implement and evaluate interventions
4. REF (A) charged FORCECOM to minimize the burden that internal Assessment,
Inspection, and Audit (AIA) activities place on units while optimizing
programmatic risk controls.
    a. The AIA Governance Office is approaching completion of phase 1.0 for
all governed, known AIAs. Overall, 35 AIA activities have been validated to
date, with the last 3 scheduled to finish in CY20.
    b. During these validations, over 17,000 third party inspection checklist
items were reviewed, re-written and re-prioritized to just over 4,100 items.
In addition, redundancy and subjectivity were eliminated throughout the AIA
enterprise, resulting in the elimination of four third-party inspection
activities. This process will continue on annual and quadrennial cycles.
    c. To maintain version control on validated checklists, the only authorized
repository for current AIA checklists will be Active Data Checklist sites on
the FORCECOM AIA Resource Center on CGPortal. Governed AIA teams shall link to
the AIA Resource Center instead of keeping checklists on other portal sites.
If an Active Data Checklist site is developed for a governed AIA team, that
team shall use it over any other methods of delivery. 
    d. Separately, there are currently 45 “AIA-Exempt” activities identified
to be re-evaluated for potential Validation in the future.
    e. FORCECOM will explore consolidating smaller AIAs into larger dedicated
AIA teams and or coordinating combined visits to reduce the number of separate
AIAs visiting the fleet.
    f. FORCECOM will also focus on virtual inspection techniques as applicable
(already standard practice for two AIAs).
5. REF (A) will be updated within one year to reflect the changes in
paragraphs 2.c and 2.d, which will be released within the next year.
REF (B) has been updated to include organization-wide scheduling practices for
AIA visits. These rules are designed to ensure all units are afforded input on
when AIA visits occur, and will receive a minimum 90-day notice before a visit.
These business rules are available for review at: http://cglink.uscg.mil/5c05d9e9.
6. POC AIA: FORCECOM AIA Governance Office (FC-AIA), D05-DG-FORCECOM-AIA@uscg.mil.
7. Units desiring more information on Assessments, Inspections and Audits in
general can go to the AIA Resource Center at: http://cglink.uscg.mil/387f30c8 and
utilize the “Links for Field Units” on the upper left side of the page.
8. Released by RDML B. K. Penoyer, Commander, Force Readiness Command.
9. Internet release is authorized.