Communications

1
Civil Air PatrolInspector General The
Assessment Program Self-Assessmentand
SubordinateUnit Inspections
Col Larry Stys, CAP/IGT Lt Col Gerry Rosenzweig,
CAP/EXS
2
Overview
Statement of Work

• CAP and CAP-USAF shall develop and operate a
  joint inspection system similar to the Air Force
  program
• Wing Inspection Program
• Inspection Program Below Wing Level (SUI)

3
Self-Assessments
Overview

• Self-assessments are discussed in CAPR 123-3
  paras 12 13
• Self-assessments are a great way to prepare for
  an inspection (CI or SUI)
• Self-assessments, when conducted properly,
  provide feed-back to commanders highlighting
  areas needing emphasis
• Emphasis should be on mission impact problems and
  fixing root causes

4
Self-Assessments
Overview

• The appropriate Inspection Guide and/or
  Self-assessment Tool will be used for
  self-assessments
• New directors or commanders should run a
  voluntary self-assessment within 60 days of
  assuming their respective positions, then
  annually thereafter
• A copy of the voluntary self-assessment report
  should be provided up one level of command so
  results may be used internally to enhance mission
  accomplishment

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Self-Assessments
Overview

• During the period between scheduled SUIs, each
  subordinate unit will accomplish a mandatory
  self-assessment approximately every 12 months
  starting with the anniversary of the units most
  recent SUI
• A written report documenting the results of the
  self-assessment will be submitted to the wing IG
  within 30 days of completing the self-assessment
• Mandatory self-assessments are NOT required in
  wings where the average SUI frequency is 24
  months or less

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Self-Assessments
Self-Assessment Tool

• Is NOT meant to replace the SUI Guide, but is
  meant to supplement it add value
• Can be used as published by CAP/IG
• Can be modified as much or as little as necessary
  to fit the needs of the local wing/group/unit
• One size does not fit all!

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Self-Assessments
Self-Assessment Tool

• Applying the Self-Assessment Tool
• Differentiate - To constitute a difference
  between and among, showing factors, amount or
  degrees
• Websters Dictionary
• Use by small units
• Use by medium size units
• Use by large units

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Self-Assessments

• TAB D-5 ---From Self Assessment Tool
• Does unit manning and designation meet the
  requirements of CAPR 20-3? ? Yes ? No
  If NO, explain
• Where is the unit Organizational Chart posted?
  Where is the units Charter Certificate?
• Document that all senior members have been
  screened.
• Document member duty assignments are processed
  properly.

• Tab D-5 from SUI Guide
• 1. Is the unit properly designated and
  manned IAW CAPR 20-3?
• a. Are changes properly submitted on a
  CAPF 27?
• 2. Is an organization chart posted and
  current? Where is the unit Charter
  Certificate?
• 3. Are new membership applications
  processed properly?
• a. Have all active senior members been
  screened?
• 4. Are all member duty assignments
  processed properly?

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Self-Assessments
Self-Assessment Tool

• Applying the Self Assessment Tool
• All Units
• Offers vital continuity when unit personnel
  change
• Constantly serves to remind personnel of critical
  compliance issues
• Helps train new people entering the assignment or
  returning to an assignment after a hiatus
• Ensures the unit is ready for an SUI at any
  moment---and THAT is a nice feeling

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Self-Assessments
Self-Assessment Tool

• Applying the Self Assessment Tool
• Small Units
• Three-ring binder
• Critical document copies stored by tab within the
  binder
• Areas are checked, answered, and updated on a
  routine basis and when changes dictate

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Self-Assessments
Self-Assessment Tool

• Applying the Self Assessment Tool
• Medium Units
• Three-ring binder for major functional areas
• Possible arrangement -
• Five divisions of the SUI Guide (AE, CP, ES,
  Mission Support, Command)
• By major unit activity (AE, CP, ES/CD,
  Ops/Aircraft, Finance, Mission Support, Command)
• Whatever works for you

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Self-Assessments
Self-Assessment Tool

• Applying the Self Assessment Tool
• Large Units
• A binder, folder, file drawer (How big are these
  guys?) for each tab in the SUI
• Everyone should have a continuity book anyway,
  right?

13
Subordinate Unit Inspections
Planning an Inspection

• Planning and scheduling of SUIs

At no time will an SUI be performed with fewer
than two highly qualified inspectors, although
three team members is desirable. CAPR 123-3

• Fewer Team Members can
• Reduce Accuracy
• Lead to grade inflation
• Lead to Errors of Central Tendencies

• Multiple team members allows
• You to use a Team Approach
• You to Round Robin
• Consensus building

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Subordinate Unit Inspections
Planning an Inspection

• Planning and scheduling of SUIs

CAPR 123-3 says SUI team members must be highly
qualified
The Regulation does not quantify highly
qualified but implies either staff background in
the area they inspect and or trained in
interviewing and inspection methodology

• SUI team assignments are set by the Wg IG or
  designee
• Written Operating Instructions (OIs) can help
  Team chiefs

• Prepare tasks prior to an SUI
• Take appropriate action during and following the
  inspection
• Provide consistent Grade resolution
• Provide a consistent report
• Publish the report within the required 45 days

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Subordinate Unit Inspections
Planning an Inspection

• Planning and scheduling of SUIs

• Does the wing have groups, and will groups be
  doing SUIs?
• Identify your team using members with multiple
  areas of expertise, who are willing to meet the
  same standards that you follow, whenever possible
• Establish a schedule that works for the units,
  publish it as far in advance as possible, and
  follow-up with the units in case things change

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Subordinate Unit Inspections
Planning an Inspection

• Planning and scheduling of SUIs

• Establish a schedule that works for all of your
  teams members
• Consider travel issues for the time of year and
  time of day when scheduling SUIs
• Spread the SUIs out over the 36 months so as not
  to overtax your team
• DO NOT schedule SUIs on Mothers Day, Fathers
  Day, religious holidays (not just Christian
  holidays), long weekends, etc.

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Subordinate Unit Inspections
Planning an Inspection

• Planning and scheduling of SUIs
• Make assignments known well in advance and known
  to all

Assignments For the Great Western Wing
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Subordinate Unit Inspections
Planning an Inspection

• Resources a Wing IG should make available to the
  team members

• Results of this units last SUI as a guide
• SUI GUIDE published by HQ-CAP or the Wing/IG
• Wing modified SUI report template
• DISTRIBUTE these resources to the team as soon as
  practicable
• Team members should visit CAP on-line data/
  websites for that unit prior to the inspection

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Subordinate Unit Inspections
Planning an Inspection

• Notifying and scheduling with the units

• Give them plenty of notice. The goal is to see
  how good they are, not catch them at something.
• Tell them that youre coming, when youre coming
  and WHY youre coming (use the wing CI
  notification letter as a guide)
• Let them know who the team leader and team
  members will be as soon as possible

20
Subordinate Unit Inspections
Planning an Inspection

• Notifying and scheduling with the units

• Suggested Pre-Inspection Schedule
• No less then 90-days out Team Chiefs need to
  contact the unit CC to determine the exact date
  for the SUI. (36 month window)
• 60-days out Team Chiefs need to send out e-mails
  or make telephone calls to assemble the team
  based on the size of the unit and resulting
  complexity of the inspection
• 30-days out the Team Chiefs contact the unit CC
  with the disposition of the team and assignments

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Subordinate Unit Inspections
Planning an Inspection

• Notifying and scheduling with the units

• Be flexible in arranging the inspection and
  individual interviews
• Be sure everyones using the most CURRENT version
  of the SUI guide

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Subordinate Unit Inspections
Planning an Inspection

• Helping the units get ready

• Suggest the use of a self-assessment as a tool to
  prepare
• Offer to be of assistance in preparing for the
  SUI. There is nothing wrong with answering
  procedural questions or giving them a feel as
  to what they should expect.
• If a unit asks a pertinent question, they may not
  be the only ones who want to know. When you
  answer the question, tell all of the units!

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Subordinate Unit Inspections
Planning an Inspection

• On the day of the Inspection

• Arrange for the use of a laptop for as many team
  members as have them or are practicable
• Plan to meet as a team after the inspection to
• -- Write up the results individually and together
• -- Do each write up as team
• -- Use consensus to arrive at grades

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Subordinate Unit Inspections
Conducting an Inspection

• Interviewing

• Steps to a Good Interview
• Know your portion of the SUI guide prior to the
  interview
• Introduce yourself
• Put the person you are interviewing at ease
• Ice Breaker Comments or Questions
• Ask Open ended questions
• What do you do?
• How do you do it?

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Subordinate Unit Inspections
Conducting an Inspection

• Interviewing

• Steps to a Good Interview
• Interrupt if necessary to
• Refocus the session
• Obtain additional information
• Obtain documentation/records
• Get clarification
• Review the SUI Guide to make sure all items were
  covered
• Ask other pertinent questions

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Subordinate Unit Inspections
Conducting an Inspection

• Interviewing

• Non-verbal Communications
• Is defined as, A form of communications that
  does not require words to convey meaning
• Up to 75 percent of communication is done
  non-verbally

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Subordinate Unit Inspections
Conducting an Inspection

• Interviewing

• Non-verbal Communications
• Why is this area important to us?
• Basis of first impressions
• Can override verbal messages
• Tends to be strongly emotive
• Can form the foundation of TRUST

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Subordinate Unit Inspections
Conducting an Inspection

• Interviewing

• Non-verbal Communications
• Eye Contact
• The look of love
• If looks could kill
• The innocent look
• Dont look at me that way

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Subordinate Unit Inspections
Conducting an Inspection

• Interviewing

• Non-verbal Communications
• Positive Signs
• Handshake firm (not terminated abruptly)
• Smiling or the display of a good sense of humor
• Positive head nods
• Arms not crossed

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Subordinate Unit Inspections
Conducting an Inspection

• Interviewing

• Non-verbal Communications
• Negative Signs
• Avoids eye contact
• Points objects (pens, pencils, fingers, etc.,) at
  you
• Fidgeting
• Tapping pens, feet, fingers
• Cover mouth while talking
• Stare
• Glance at watch constantly

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Subordinate Unit Inspections
Conducting an Inspection

• Interviewing

• Taking Notes
• Write down key words, keep eye contact
• Dont write too much
• Youll make the inspectee nervous and they may
  lose their train of thought
• Or they may stop providing information
• Be an Active Listener
• You can listen while youre writing, but
• Once you have all the information you need,
  politely conclude the interview

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Subordinate Unit Inspections
Conducting an Inspection

• Inspecting Records

• Review 100 of records if you can
• If circumstances or time do not allow a 100
  review, then review an appropriate size sample

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Subordinate Unit Inspections
Conducting an Inspection

• Inspecting Records

• Check records to ensure all required documents
  are there
• For pilot records, see CAPR 60-1
• For vehicle records see CAPR 77-1
• For aircraft records see CAPRs 60-1, 66-1 and the
  FARs
• For personnel records see CAPRs 35-1, 50-17,
  52-16 many more
• Etcetera, etcetera, etcetera
• Not only should the required items be there, they
  should be signed, as should the required approvals

34
Subordinate Unit Inspections
Conducting an Inspection

• Inspecting Aircraft and Vehicles
• When Inspecting Vehicles/Aircraft, You Need To

• Be sure the vehicle/aircraft is being managed
  properly
• Be sure the vehicle/aircraft is being maintained
  properly
• Be sure the vehicle/aircraft is SAFE!!!!
• Use the same checklist the members use every day
• CAPF 73 when inspecting vehicles
• CAPF 71 when inspecting aircraft

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Subordinate Unit Inspections
Conducting an Inspection

• The Bottom Line

• Be professional, you are representing CAP and
  your wing headquarters
• Be open minded different is not necessarily
  wrong
• Give inspectee the opportunity to do most of the
  talking
• Allow them to sell their program, but
• Do not allow them to focus on fluff or
  non-critical items

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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Most people will know you through your reports
  and will form an opinion of your competence based
  on the content and style of your writing.
• -- USAF Inspectors Course

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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Use the SUI Report format template!
• Standardize
• Quality check for gramer, spaling,pucttion
• Quality Check for accuracy
• Get it to them in 30 days, give or take
• Everything you do affects all of our
  reputations!!!!

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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Four Criteria of a Report
• Technically complete and accurate
• Logically organized
• Mechanically and grammatically correct
• Informs and persuades the reader

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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights
• Benchmark Candidate - The best of the best
  processes observed and researched to date by the
  assessment team to be considered for emulation by
  other units
• Commendable - A highly effective concept,
  technique, or management practice not observed in
  other units or significantly better than those
  found in other units

40
Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights
• Observation - A minor deficiency documented to
  place emphasis on the need for resolution before
  it develops into a more serious problem, to
  provide crossfeed to other units, or to act as an
  indicator of overall unit health
• Finding - A significant deficiency that requires
  specific answers to the wing IG/HQ for
  inspections or submitted to the assessing agency
  that completed the SAV, on actions taken to
  correct the deficiency

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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights

The Wing DCP has been unable to get subordinate
units to supply information on their cadet
program elements so that the DCP can track
program elements as required by CAPR 20-1 page 34
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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights

The DOV has written a training syllabus for cadet
student pilots which exceeds the pilot test
standards set by the FAA. No student pilot who
has completed the entire syllabus has ever failed
the private pilot test
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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights

The DAE, on average, visits a subordinate unit
monthly and completes a visitation activity
sheet. This activity sheet provides a summary of
whom he visited and what topics were discussed.
These reports were well documented and were very
thorough.
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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights

The Wing account numbers and classifications are
not those specified in CAPR 173-2. CAPR 173-2
Para 7a states, Each wing and region will
maintain a general ledger, corresponding journals
of original entry, and related subsidiary ledgers
on the accrual basis in accordance with the
account numbers and classification contained in
attachment 5.
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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights
• Safety Finding - A significant deficiency that
  potentially effects the safety and well being of
  CAP members, equipment or assets. This Finding
  may be highlighted in any tab of the inspection
  report.
• Potential FWA Finding - A significant deficiency
  that may reveal fraud, waste and/or abuse of CAP
  resources and requires specific answers to the
  wing IG/HQ for inspections or submitted to the
  assessing agency that completed the SAV, on
  actions taken to correct the deficiency

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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights

(Finding) The tire pressures posted on the
outside of the five vans inspected by the CI
Team, are not in accordance with vehicle
manufacturers suggested tire pressures in
violation of guidance provided to all wings from
HQ CAP/LGT and the US Department of
Transportation on 22 April 2003 -- This is a
Safety Finding and will be replied to in
accordance with the reply instructions at the
beginning of this report
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Subordinate Unit Inspections
Conducting an Inspection

• Report Writing

• Report highlights and low lights

(Finding) Two non-expendable items (Ford truck
01011 and trailer 01021) were purchased,
through sealed bid, by a CAP member in violation
of CAPR 67-1 para 4-6c -- This is a Potential
FWA Finding and will be replied to in accordance
with the reply instructions at the beginning of
this report
48
Subordinate Unit Inspections
Conducting an Inspection

• Grade Determination

• Individual tab ratings are objective
• Because it is an evaluation compared to the
  standards reflected in the inspection guide
• Overall grade is subjective
• Because there is some subjectivity in determining
  how the array of grades earned compare to the
  overall standard for the type unit being
  inspected

49
Subordinate Unit Inspections
Conducting an Inspection

• Grade Criteria

• Successful Performance Meets mission
  requirements
• Resources Efficiently managed
• Procedures carried out in an Effective and
  Competent manner
• Minor deficiencies exist
• THIS IS THE STANDARD! It means you are doing the
  job like you are supposed to.

50
Subordinate Unit Inspections
Conducting an Inspection

• Grade Criteria

• Excellent Performance Exceeds mission
  requirements
• Resources and programs Very Efficiently managed
• Procedures carried out in a Superior manner
• Relatively Few, if any, deficiencies exist

51
Subordinate Unit Inspections
Conducting an Inspection

• Grade Criteria

• Outstanding Performance Far Exceeds mission
  requirements
• Resources and programs Very Effectively managed
  and are of Exceptional Merit
• Procedures carried out in a Far Superior manner
• Few, if any, deficiencies exist

52
Subordinate Unit Inspections
Conducting an Inspection

• Grade Criteria

• Marginal Performance does not meet Some mission
  requirements
• Resources Not Efficiently managed
• Procedures Not carried out in an Efficient manner
• Deficiencies Impede or Limit the mission

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Subordinate Unit Inspections
Conducting an Inspection

• Grade Criteria

• Unsatisfactory Performance does Not Meet
  mission requirements
• Resources Not adequately managed
• Procedures Not carried out in an Adequate manner
• Significant deficiencies Preclude or Seriously
  Limit the mission

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Subordinate Unit Inspections
Conducting an Inspection

• Grade Criteria Summary

55
Subordinate Unit Inspections
Conducting an Inspection

• Grade Criteria

• SUCCESSFUL is the standard and means they are
  doing the job, and doing it properly and well
• There is no grade quota
• Feel free to give them what they deserve, but
  there are NO GIFTS
• If the grade is on the fence, the inspectees
  get the benefit of the doubt

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Subordinate Unit Inspections
SUI Follow-up

• Publish and distribute reports

• Be sure its right before you send it out
• Send copies to all charters within the wing so
  that others may gain from the effort
• CAPR 123-3 requires reports to be sent to the
  unit within 45 days of the SUI

57
Subordinate Unit Inspections
SUI Follow-up

• Maintain inspection documentation

• Collect all notes, handouts and files, etc.
  acquired during the inspection
• This may be important if questions and/or
  complaints come up

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SCENARIO BASEDTRAINING EXERCISE
CLASS SCENARIO BASED TRAINING (SBT) on the
SUI Part 1 Class will be divided into
appropriate teams based on the number of students
and course staff Part 2 Teams will interview
a course staff member who will play one or more
roles simulating respective positions within a
subordinate unit Part 3 Teams will then draft
the report(s) of the interview(s) conducted
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Subordinate Unit Inspections
SUI Follow-up

• Unit replies to reports

• Units must answer all findings in the same
  manner as the wing CI
• Answers should make sense to the SUI program
  manager and the wing staff member responsible for
  that function
• Findings are closed when the SUI program manager
  say so, NOT when the unit says so

60
What not to write
Anywhere Squadron SUI Somewhere, USA 13-15
January 200X C-2 COUNTERDRUG Excellent -- CDO
does excellent job monitoring unit personnel
training and qualifications -- Uses wing CD
training in place of local training -- Unit
cannot have personnel maintain 20 hour rule due
to lack ofCD mission in the state -- Excellent
participation and coordination with local
government agencies
61
What not to write
Anywhere Squadron SUI Somewhere, USA 13-15
January 200X E-1 COMMAND Satisfactory -- The
unit did a through job of preparing for the SUI.
All questions were preparedin writing in
advance. The unit approached the SUI as a
learning tool. -- The commander is very
organized. He has assembled an excellent staff.
This contributed to the units rating of
Excellent. -- The commander takes and active
interested in assuring that unit members are
assigned duties in an area they are interested
in. This shows in the enthusiasmof his
staff. -- (Commendable) The unit has a Level 1
Training Officer. They have written process for
recruiting new members, and taking them from
their first meeting through orientation and level
1 training.
62
What not to write
Anywhere Squadron SUI Somewhere, USA 13-15
January 200X C-3 OPERATIONS Satisfactory -- (O
bservation) The unit has four active CAP
Pilots. Inspection of their files found them to
be in order. The unit is following the Flight
Release Program outlined in CAPR 60-1.
63
What not to write
Anywhere Squadron SUI Somewhere, USA 13-15
January 200X A-1 AEROSPACE EDUCATION Excellent
-- Unit has an AE officer enthusiastic about AE
with a Masters rating in AE. -- External AE
program is in progress as evidenced by a letter
of appreciation from a local private school. Unit
plans to be expanded into other schools in the
Racine area. -- All Seniors except the newest (1)
member have completed AEPSM -- Rocketry program
is complete. -- Unit library is complete. -- AE
bulletin was up to date. -- The unit did
voluntarily participate in the 2004-2005 AEX
program. 200X is currently in process. -- (Commend
able) Squadron AE officer is an active member
on the wing level as part of the Wing Aerospace
Education Directorate. -- (Commendable) The
squadron actively participates in an Aerospace
Education weekend, hosted by another squadron, on
all levels from students to staff.
64
What not to write
Anywhere Squadron SUI Somewhere, USA 13-15
January 200X C-5 COMMUNICATIONS UNSATISFACTORY
-- (Finding) Radios not in compliance and
some not working at all. -- (Observation) No
unit exercises conducted. -- (Observation)
Communications Officer is not aware of what CEMS
is and has no access to it. --
(Observation) Communications Officer has all
of the CAP owned equipment and it is not
issued. Given that it either does not work and
that it is also non-compliant, that would be
a good thing. -- (Observation) Communications
Officer has requested to turn in the CAP
owned equipment and that has been delayed by the
Wing DC for reasons of space. --
(Observation) Communications Officer has a
list of recent graduates of ACUT class but
no list of BCUT trainees. -- Only communication
activity at this unit is that two members who
have their own radios are encouraged to
participate in Wing exercises.
65
Civil Air Patrol Homeland Security is Our
Heritage!