DISTRIBUTION – SDL No. 168
NON-STANDARD DISTRIBUTION:
COMDTINST 5040.6A
06 SEP 2018
COMMANDANT INSTRUCTION 5040.6A
COAST GUARD ASSESSMENT, INSPECTION, AND AUDIT GOVERNANCE
(a)
Management's Responsibility for Internal Control, COMDTINST 5200.10 (series)
(b) Risk-Based Decision-Making, COMDTINST 16010.3 (series)
1. PURPOSE.
a. To minimize the burden that internal U.S. Coast Guard Assessment, Inspection, and Audit (AIA)
activities places on units without sacrificing overall operational readiness. This Instruction
establishes a governance structure for AIA activities and further defines a process to validate
requirements, identify redundancy, evaluate risk, consolidate scheduling, and provide
transparency of AIA results. Additionally, the AIA governance system will establish standard
reporting criteria and leverage information management tools to inform decision-makers of AIA
results, track trends, and provide data to program managers and product lines for use in
identifying driving influences of non-compliance. AIA activity results shall be collected,
analyzed, and reported for trend/best practice analysis and procedural process improvement.
Furthermore, the AIA governance system will improve AIA information management to ensure
AIA results are optimally shared.
b. Upon implementation of the new governance structure, it is expected that there will be fewer
visits to units, minimal redundancy in AIA activities, and no significant increase in
organizational risk. Definitions of AIA-specific terms are provided in Enclosure (1). This list can
be modified by the AIA Configuration Control Board (CCB) or the AIA Compliance Oversight
Board (COB). This list specifically exempts financial and property audits governed by
Commandant (CG-8) and any external assessments, audits or inspections which are directed by,
Commandant
United States Coast Guard
US Coast Guard Stop 7000
2703 Martin Luther King Jr Ave SE
Washington, DC 20593-7000
Staff Symbol: VCG
Phone: (202) 372-4422
Fax: (202) 372-8302
