Civil Air Patrol Inspector General Inspection Program …schd.ws/hosted_files/txwgconference2014/f3/IG Training-CI 4th Cycle... · Civil Air Patrol Inspector General Inspection Program

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Performing Missions For America

Civil Air Patrol

Civil Air Patrol Inspector General

Inspection Program

Wing Compliance Inspections

This presentation was prepared by

the Inspector General Staff, under the

leadership of Col Ken Parris.

Background

1

“CAP and CAP-USAF

shall develop and

operate a joint

inspection system

similar to the Air

Force program.”

Statement of Work

A Culture of Compliance

2

What is a Culture of Compliance?

The USAF sees:

continuous improvement leading + continuous

compliance = a culture of compliance

Plant the seed in Commanders

Fiduciary responsibility is open to every member of

CAP: It is the foundation of what we and where we

came from.

Change the person and the organization, from recruit

cadet and senior to the Board of Governors.

3

The Role of the Wing CC and IG

4

Provide Guidance to your staff . . .

Get Staff ready in time and in place . . .

Don’t abandon them. Pull them out of tough

spots! Educate your staff: “This is what we mean by Successful!”

5

Changes to the Program

• Driven by real world needs to:

• Reduce costs and increase the efficiency of

the program

• Reduce the inspection burden on a Wing,

so more time can be spent doing the job of

the CAP


The Wing will be subject to fewer

inspection and evaluation events

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• The Liaison Region Survey Audit will merge

with the Wing SAV in the year of the SAV

• The Liaison Region Survey Audit will merge

with the Wing CI in the year of the CI


CAP-USAF is able to use the resources of the Liaison Region to increase our effectiveness and still reduce the cost of each Inspection

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• The Survey Audit (and all CAP-USAF

evaluations) will adopt the same terminology and

grading structure as the Compliance Inspection

• The Liaison Region member of the team will

conduct the Supply, Transportation and

Communications property inspection. This

will include vehicles selected for inspection by

the CI team.


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SIGNIFICANT CHANGES TO THE TIME TABLE

90 days out:

The Wing receives a written notice from the CAP and CAP-USAF Commanders, forwarded by the NHQ IG Administrator, formally advising it of the dates of the inspection and requesting a point of contact

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80 days out:

Wing Receives a follow-on e-mail advising it of the vehicles and aircraft selected for inspection and of the requirements for pre-inspection documentation (deliverables)

CAPR 123-3 Attachment 1 31 December 2012 Attachment 1 - Inspection and Staff Assistance Visit Unit Details and Data The following outline covers data usually presented at an inspection in-brief. In the interest of timeliness and not burdening or requiring the CAP wing staff to attend the in-brief, one copy, except where noted, of the following data is to be e-mailed, faxed or mailed to the inspecting headquarters/POC NLT 6 weeks prior to the scheduled start date of the inspection. In case of the inspection team being assigned back-to-back inspections, the notification letter will specify a compliance date for meeting this requirement to ensure receipt at least 6 weeks prior to the team departing headquarters.

1.Number of units: groups, squadrons with cadet members, squadron without cadet members, flights with cadet members and flights without cadet members.

2.Number of members: seniors and cadets.

3.Copies of AE award nominations for this past year.

4.Copies of the minutes from the last two CAC meetings.

5.Number of cadet orientation flights last fiscal year (FY) and current year-to-date (YTD); the number of individual cadets who were flown on orientation flights last FY and current YTD.

6.A copy (preferably electronic) of each signed MOU under which your wing is operating.

7.Number of current pilots, number of current mission pilots, number of observers; Number and names of flight release officers currently on orders.

8.Counterdrug flying hours last FY, CD hours YTD, percent of private aircraft CD hours last FY and YTD.

9.Actual SAR flying hours last FY and YTD, actual ground team hours last FY and YTD.

10.Copies of all certificates of insurance for facilities doing maintenance on wing aircraft and of the latest completed CAPF 71 for each aircraft assigned within your wing.

11.A copy of the wing HQ test control log(s) for the last 2 years.

12.A copy of all CAPFs 34 submitted by your wing for the last reporting period and documentation of the last Chaplain Corps biennial meeting.

13.A copy of the wing HQ file plan; a copy (electronic) of all wing supplements and OIs and documentation of their annual recertification; a list of wing forms showing the directives that prescribe them.

14.Copies of the CAPFs 27 for each chartered unit within your wing.

15.A copy of your wing’s media contact list, Crisis Communications and Public Relations plans.

16.Copies of your subordinate units’ Crisis Communications and Public Relations plans.

17.Number of vehicles, last fiscal year (FY) vehicle expense, year-to-date (YTD) vehicle expense.

18.A copy of your wing’s schedule of safety events for this year; a list of the subordinate unit safety visits by wing HQ; a copy of you wing’s internal mishap notification procedure; documentation of participation in the FAA Wings program by your wing’s members.

19.A list, by unit, of the date(s) of SUIs in the past 4 years and future scheduled inspections; copies of all SUI reports for the last two inspection cycles (electronically); a copy of the most recent self-inspection report for each subordinate unit (electronically); documentation showing the status of all Discrepancies from the most recent SUI cycle.

20.A list of primary interviewee(s) for each inspected area with a contact e-mail address and telephone number.

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42 days out: Deliverables are due to NHQ!

35 days out: The CI Team receives your

deliverables plus information downloaded from eServices. The inspection now starts via pre-visit telephone interviews coordinated between the CI Team and the Wing.

Discrepancies discovered during the pre-visit interview/research may be closed when the “Eyes on, Hands on” inspections occurs

[email protected]

mailto:[email protected]

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Section 1 -- The Table of Contents of the inspection book

Section 2 -- Brief introductions of yourself and your staff

(if your position has staff) should be in this

section. A brief description of experience and

background that enables you (and your staff)

to fulfill the duties of the position.

Inspection Book


12

Section 3 -- The written explanations to each of the

inspection guide questions. The explanations

should be in the same order as the inspection

guide questions.

Answers should not be Yes or No answers

unless an explanation of how the wing is

accomplishing the material is included

If problems are identified, please explain the

wing’s plan to correct the problems

Inspection Book


13

Section 4 -- Contains supporting documents, examples or

material to support the explanations found in

Section 3 in a separate, tabbed subsection

The order of these tabbed subsections

should be the same as the inspection guide

questions

Inspection Book


The preferred format for these is Microsoft Word®

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• Wing provides the following prior to the inspection:

Inspection Book

• Written answers to each guide question for each tab

• This might look like this….

These questions

and CAP references

are found in the

CI Guide

This material is the

Wing’s Explanation


15

• Each program staff officer will prepare a short

(1-2 pages) biography describing your

experience that qualifies you for your position

• A biography might look like this….

Inspection Book


Pictures are

optional

(not required)

• Do not send a copy of the eServices print out!

16

• A typical Compliance Inspection

schedule may look like this:


Telephone Interview Process

17

Rules of Engagement for Telephone Interviews 1: •CI Team member will coordinate a conference call with the wing staff member and advise him/her by e-mail what he/she needs

•Be prepared. The CI team member will go through the CI Guide and applicable records.

•Have access to eServices or any other electronic records (secure wing website links, for instance)

•Be professional and to the point; time is of the essence

•Be thorough; you are being inspected!


18

Rules of Engagement for Telephone Interviews 2 •The objective is to cover as much of the CI Guide material as practical in order to provide the CI team members the information they need

•Information provided by the deliverables, from eServices and other electronic means, may be the basis for the assessment of Benchmark Candidates on down to Areas of Concern and Discrepancies

Discrepancies discovered during the telephone interview and from research conducted by the

CI Team may be closed when the “Eyes on, Hands on” inspections occur . . .


19

Rules of Engagement for Telephone Interviews 3

•Sell your program!

•At the end of the pre-visit interview, the CI Team member should provide a list of those items, documents, programs that need to be part of the “Eyes-on, Hands-on” inspection. IF he or she does not provide the list, demand it! No surprises!

•The “Eyes-on, Hands-on” inspection should NOT repeat the telephone interview, should NOT repeat the CI guide questions

•A Wing Commander and key staff are allowed to join in on any staff interview, as the conference call system allows this

•Things will change. . .we just might “skype” or use “GoToMeeting” before we finish Cycle 4. SEMPER GUMBY!

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5 Days Out: The CI team submits their

draft reports to NHQ for consolidation

2 Days Out: The CI team receives a

consolidated draft report from NHQ. . .

[email protected]


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1st day of CI: CAP-USAF team chief gives

Inbrief. “Eyes-on, Hands-on” inspection starts.

3rd day of CI: CAP Team chief gives out-

brief and delivers a draft report to the Wing Commander, after briefing the CAP-USAF and CAP leadership first

[email protected]


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• In-brief

• Conduct during interviews

> Directors need to sell their programs

> We’re there to learn how good you are, not to find

things wrong (although that does happen,

sometimes)

Availability of personnel & documentation

> All wing directors should be present . . .or

someone knowledgeable to represent the absent

director

> Any wing files and/or documentation must also

be available for inspection


The Inspection

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• CI Report Special Entries:

The Inspection

• Benchmark Candidate: The best of the best observed

and researched to date by team and worthy of posting

for consideration for emulation by other units. It may

become a Benchmark after further review . . .

• Commendable: A highly effective concept, technique

or management practice that enhances mission

accomplishment and exceeds the program

requirements specified by CAP directives


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The Inspection

• A-Discrepancy: An A-Discrepancy is any deficiency

that is a violation of a CAP directive that results or

could result in significant mission impact or widespread

mission impact or failure

• B-Discrepancy: B-Discrepancies are deficiencies

that are a violation of a CAP directive that is

procedurally incorrect, but has less significant mission

impact than an A-Discrepancy.



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The Inspection

• Area of Concern (AoC): An AoC is listed when

mission accomplishment, program purpose or

membership satisfaction is impaired or threatened

• Examples include, but are not limited to:

A weakness or impairment that, if uncorrected, may lead to a

violation of regulation or other standard

A practice that may indicate an unsatisfactory trend or violation

if found to be prevalent in the unit

Non-mandatory processes or activities that are not

accomplished, but would be beneficial or useful to the program


• Compliance Inspection Grading

• Successful is the standard!

Outstanding -- Far Exceeds requirements

Highly Successful – Exceeds requirements

Successful – Meets requirements

Marginally Successful – Does not meet some

requirements

Unsatisfactory – Does not meet requirements

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The Inspection


27

• Individual tab ratings are objective

• Overall grade is subjective

A AEROSPACE EDUCATION

B CADET PROGRAMS

C EMERGENCY SERVICES

C-1 Operational Mission Mgt

C-2 Communications

C-3 Flight Operations

C-4 Aircraft Management

E COMMAND

E-1 Commander

E-2 Safety

E-3 Inspections

D MISSION SUPPORT

D-1 Professional Development

D-2 Chaplain

D-3 Finance

D-4 Administration

D-5 Personnel

D-6 Public Affairs

D-7 Supply

D-8 Transportation

The Inspection


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Wing Compliance Inspections Team Assignments

For a typical Wing CI Revised Assignment

Air Force CAP

Tab Branch

Team

Chief Ops

Msn

Suprt LR/LG

Team

Chief Ops

Msn

Suprt

A-1 Aerospace Ed. CAP X

B-1 Cadet Programs CAP Y X

C-1 Mission Mgt Joint X X

C-2 Communications AF Y X

C-3 Flight Mgt CAP X

C-4 Aircraft Mgt Joint X X

D-1 Professional Dev. CAP Y X

D-2 Chaplain AF Y X

D-3 Finance CAP NHQ/FM

D-4 Administration AF Y X

D-5 Personnel AF Y X

D-6 Public Affairs AF Y X

D-7 Supply AF X

D-8 Transportation AF X

E-1 Commander Joint X X

E-2 Safety AF X

E-3 Inspector General Joint X X

E-4 Legal Officer Merged into Commander interview

Total Interviews 0/3/2 1/1/2 0/0/4 2/0/1 1/2/1 1/2/1 0/0/3

X = Interview Y = Follow-up Totals = solo/dual/follow-up

Grade Resolution

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• Grade resolution occurs on the third day of the

Compliance Inspection

• Team members consider the inspection report for

each area in turn, and assign a grade based on

the inspection report

• The team member writing the report does not

vote on that item, except in the case of a tie

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• The objective of a CI is successful compliance with

the standards

• Another objective is to locate and define:

• DISCREPANCIES that require correction

• Accomplishments over and above the standards

• Put simply, a grade reflects whether the Wing/

program is in compliance or:

• Above the bar (Highly Successful or even

Outstanding)

• Below the bar (Marginally Successful,

Unsatisfactory)

• At the bar (Successful)

Grade Resolution

31

• The Compliance Inspection Program does NOT

compare the inspected unit against any other unit

• Each unit is compared to the standard of mission

accomplishment as stated in the definition of the

grade of Successful:

“Performance or operation meets mission

requirements. Procedures and activities are carried

out in an effective and competent manner. Resources

and programs are efficiently managed. Minor

deficiencies may exist but do not impede or limit

mission accomplishment.”

Grade Resolution

32

Who gets what?

The National Commander, Region Commander, CAP-USAF Commander and Chief Operating Officer are telephoned and given a briefing on the Wing’s result. A grade summary sheet is provided and the draft report, if they ask. The CAP/IG and the CAP-USAF/IG are called and given a more extensive briefing and e-mailed a summary sheet and the draft report


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IG Support Coordinator immediately begins a

review of the draft report and sets the 60 day

(Safety Discrepancies) and 90 day

(Discrepancies) clock

• Draft report is circulated to all the directorates at

NHQ (both CAP and CAP-USAF) for review,

technical accuracy and to resolve any questions or

fine points that may come up

• Final draft is reviewed once more to ensure

grammar, references, readability and mechanics are

correct

Inspection Follow-up


• Replying to Inspection Report Findings

Type of

Finding

1st Response

is Due

2nd Response

is Due

All Subsequent

Responses are Due

Safety

Findings

60 Days

after Out-Brief

90 Days

after 1st response

(150 days after

Out-Brief)

60 Days

after previous

response

Non-Safety

Findings

90 Days

after Out-Brief

60 Days

after 1st response

(150 days after

Out-Brief)

60 Days

after previous

response

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Inspection Follow-up


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• As a tool for commanders at all levels

• Provides the CAP & CAP-USAF leadership vital

information on where assistance and/or oversight is

needed

• Indicates to each region/CC the health of his/her

wings

• Provides wing/CCs with an analysis of where

additional managerial effort and support, as well as

resources, are needed

“Cross tell” means sharing results


Let’s “Cross tell” on Wing SUIs

We got a problem with

Inspecting units in a cycle

not exceeding 39 months

Tracking and closing older Findings and more current Discrepancies

Having the Wing CC take correct action

Training and recording the training of qualified Assistants

We aren’t following . . .

MEI & CAPR 123-3 Para 12b

CAPR 123-3 Para 12h and i

& CAPR 123-3 Para 12o

CAPR 123-3 Para 12i, m/n

CAPR 123-3 Para 12e(1) & CAPR 123-1, Attachment 1

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And in Conclusion . . . 1. CIs will be run more efficiently - - SUIs need to

follow suit

2. Liaison Region will merge their work with the CI teams' to reduce the frequency of inspections for CAP units

3. Telephone and electronic methods will replace time on face-to-face interviews.

4. Wings will be able to sell their programs

5. The going-in grade is “successful” and Wing’s need to tell the team of their “commendable” programs.

6. Opportunities to close discrepancies will increase.

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Civil Air Patrol Inspector General Inspection Program …schd.ws/hosted_files/txwgconference2014/f3/IG Training-CI 4th Cycle... · Civil Air Patrol Inspector General Inspection Program