Civil Air Patrol
Civil Air Patrol
Inspector General
Inspection Program
Wing Compliance
Inspections
Col Steve Miller, CAP/IGI
CITIZENS SERVING COMMUNITIES
Background
Statement of Work
“CAP and CAP-USAF
shall develop and
operate a joint
inspection system
similar to the
Air Force program.”
2
The Role of the
Wing CC and IG
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!”
3
Wing Compliance
Inspections
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
Wing Compliance
Inspections
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
CAP-USAF is able to use the resources of the
Liaison Region to increase our effectiveness
and still reduce the cost of each Inspection
Wing Compliance
Inspections
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
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 Coordinator,
formally advising it of the dates of the
inspection and requesting a point of contact
7
Wing Compliance
Inspections
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 selfinspection 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.
21. A copy of Sections 2 and 3 of each inspection book prepared by each staff section scheduled to be inspected. These should be submitted in Microsoft Word® file format (please see instructions
attached to this e-mail).
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 preinspection documentation (deliverables)
8
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 previsit telephone interviews coordinated between
the CI Team and the Wing.)
9
Discrepancies discovered during the pre-visit interview/research
may be closed when the “Eyes on, Hands on” inspections occurs
Wing Compliance
Inspections
Inspection Book
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.
Wing Compliance
Inspections
Inspection Book
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
11
If problems are identified, please explain
the wing’s plan to correct the problems
Wing Compliance
Inspections
Inspection Book
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
The preferred format for these is Microsoft Word
12
Wing Compliance
Inspections
Inspection Book
• Wing provides the following prior to the
inspection:
• Written answers to each guide question for each
These questions
taband
CAP references are
found in the
• This might
CI Guide
This material is the
Wing’s Explanation
13
look like this….
Wing Compliance
Inspections
Inspection BookPictures are
optional
(not required)
• 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….
• Do not send a copy of the eServices
print out!
14
Wing Compliance
Inspections
• A typical Compliance Inspection
schedule may look like this:
15
Telephone Interview
Process
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!
16
Telephone Interview
Process
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 . . .
17
Telephone Interview
Process
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!
18
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. . .
19
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
and CAP-USAF leadership first
2
0
Wing Compliance
Inspections
The Inspection
• 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
21
>
All wing directors should be present . . .or someone
knowledgeable to represent the absent director
>
Any wing files and/or documentation must also be
for inspection
available
Wing Compliance
Inspections
The Inspection
• CI Report Special Entries:
• 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
The Inspection
• CI Report Special Entries:
• 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.
23
Wing Compliance
Inspections
The Inspection
• CI Report Special Entries:
• 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:
2

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
The Inspection
• Compliance Inspection Grading
Outstanding -- Far Exceeds requirements
Highly Successful – Exceeds requirements
Successful – Meets requirements
Marginally Successful – Does not meet some
requirements
Unsatisfactory – Does not meet requirements
• Successful is the standard!
25
Wing Compliance
Inspections
The Inspection
• 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
26
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
Wing Compliance
Inspections
Team Assignments
For a typical Wing CI
27
Revised Assignment
Air Force
Branch
CAP
Team
Chief
Ops
Msn
Suprt
CAP
A-1
Tab
Aerospace Ed.
B-1
Cadet Programs
CAP
C-1
Mission Mgt
Joint
C-2
Communications
C-3
Flight Mgt
CAP
C-4
Aircraft Mgt
Joint
D-1
Professional Dev.
CAP
D-2
Chaplain
AF
D-3
Finance
CAP
D-4
Administration
AF
Y
X
D-5
Personnel
AF
Y
X
D-6
Public Affairs
AF
D-7
Supply
AF
X
D-8
Transportation
AF
X
E-1
Commander
E-2
Safety
E-3
Inspector General
E-4
Legal Officer
Ops
Msn
Suprt
Y
X
X
Y
X
X
X
X
Y
Y
X
X
NHQ/FM
Y
X
X
AF
Joint
Team
Chief
X
X
AF
Joint
LR/LG
X
X
X
X
Merged into Commander interview
Total Interviews
0/3/2
1/1/2
0/0/4
2/0/1
X = Interview Y = Follow-up Totals = solo/dual/follow-up
1/2/1
1/2/1
0/0/3
Grade Resolution
• 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
28
Grade Resolution
• 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)
29
• Failing (Unsatisfactory)
Grade Resolution
• 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:
30
“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.”
Wing Compliance
Inspections
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.
31
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
Inspection Follow-up
 NHQ IG 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
32
• Final draft is reviewed once more to ensure
grammar, references, readability and mechanics
are correct
Wing Compliance
Inspections
Inspection Follow-up
• Inspection Report
• Final report is printed and mailed to the
inspected wing approximately 45 - 60 days
following the CI
• All other copies are sent electronically
33
Wing Compliance
Inspections
Inspection Follow-up
• Replying to Inspection Report Findings
Type of
Finding
Safety
Findings
Non-Safety
Findings
34
1st Response
is Due
2nd Response
is Due
60 Days
after Out-Brief
90 Days
after 1st response
(150 days after
Out-Brief)
60 Days
after previous
response
90 Days
after Out-Brief
60 Days
after 1st response
(150 days after
Out-Brief)
60 Days
after previous
response
All Subsequent
Responses are Due
Wing Compliance
Inspections
“Cross tell” means sharing results
• 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
35
• Provides wing/CCs with an analysis of where
additional managerial effort and support, as well
as resources, are needed
Let’s “Cross tell” on
Wing SUIs
 “We” have a problem as  “We” aren’t following . . .
36
 Inspecting units in a cycle not
exceeding 39 months
 CAP/CC and CAP-USAF/CC MEI &
CAPR 123-3 para 12b
 Tracking and closing older
Findings and more current
Discrepancies
 CAPR 123-3 para 12h and i suggest
tracking by implication & CAPR
123-3 para 12o removes doubt
 Having the Wing CC take correct
action for repeat findings
 CAPR 123-3 paras 12i, m and n are
not “suggestions”
 Training and recording the
training of qualified Assistants
 CAPR 123-3 para 12e(1) & CAPR
123-1, Attachment 1
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
37
6. Opportunities to close discrepancies will increase
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