civil air patrol inspector general inspection program...
TRANSCRIPT
Dedicated to Improving Civil Air Patrol
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
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.
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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
Wing Compliance Inspections
The Wing will be subject to fewer
inspection and evaluation events
6
Changes to the Program
• 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
Wing Compliance Inspections
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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Changes to the Program
• 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.
Wing Compliance Inspections
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Wing Compliance Inspections
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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Wing Compliance Inspections
SIGNIFICANT CHANGES TO THE TIME TABLE
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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Wing Compliance Inspections
SIGNIFICANT CHANGES TO THE TIME TABLE
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
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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
Wing Compliance Inspections
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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
Wing Compliance Inspections
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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
Wing Compliance Inspections
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
Wing Compliance Inspections
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• 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
Wing Compliance Inspections
Pictures are
optional
(not required)
• Do not send a copy of the eServices print out!
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!
Telephone Interview Process
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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 . . .
Telephone Interview Process
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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Wing Compliance Inspections
SIGNIFICANT CHANGES TO THE TIME TABLE
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. . .
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Wing Compliance Inspections
SIGNIFICANT CHANGES TO THE TIME TABLE
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
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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
Wing Compliance Inspections
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
Wing Compliance Inspections
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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.
Wing Compliance Inspections
• CI Report Special Entries:
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• CI Report Special Entries:
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
Wing Compliance Inspections
• 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
Wing Compliance Inspections
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• 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
Wing Compliance Inspections
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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
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• 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
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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
Wing Compliance Inspections
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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
Wing Compliance Inspections
• 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
Wing Compliance Inspections
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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
Wing Compliance Inspections
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.