BY ORDER OF THE COMMANDER AIR FORCE MATERIEL COMMAND AIR FORCE INSTRUCTION 90-201 AIR FORCE MATERIEL COMMAND Supplement 6 JULY 2017 COMPLIANCE WITH THIS PUBLICATION IS MANDATORY Special Management THE AIR FORCE INSPECTION SYSTEM ACCESSIBILITY: Publications and forms are available for downloading or ordering on the e-publishing website at www.e-publishing.af.mil RELEASABILITY: There are no releasability restrictions on this publication OPR: HQ AFMC/IGX Supersedes: AFI 90-201_AFMCSUP, 6 March 2014 Certified by: HQ AFMC/IG (Mr. Raymond Flores) Pages: 36 This supplement implements AFPD 90-2, Inspector General-The Inspection System, and AFI 90-201, The Air Force Inspection System, within Air Force Materiel Command. It provides specific guidance and procedures for AFMC personnel. Unless otherwise noted, HQ AFMC/IG is the waiver authority for policies contained in this supplement. This supplement does not apply to the Air National Guard or US Air Force Reserve units and members. Submit recommendations for improvements and/or changes in writing to HQ AFMC/IG, 4375 Chidlaw Road, Room N121, Wright-Patterson AFB, OH 45433. Units may further supplement this instruction, as required. Unit supplements cannot be less restrictive than this supplement. If supplemented, send a copy to HQ AFMC/IGX for coordination and approval prior to issue. The authorities to waive Center/wing/unit level requirements in this publication are identified with a Tier ( T-0, T-1, T-2, T-3 ) number following the compliance statement. See AFI 33-360, Publications and Forms Management, for a description of the authorities associated with the Tier numbers. Submit requests for waivers through the chain of command to the appropriate Tier waiver approval authority, or alternately, to the Publication OPR for non-tiered compliance. Refer recommended changes and questions about this publication to the Office of Primary Responsibility (OPR) using the AF Form 847, Recommendation for Change of Publication; route AF Forms 847 from the field through the appropriate functional chain of command. Ensure that all records created as a result of processes prescribed in this publication are maintained in accordance with (IAW) Air Force Manual (AFMAN) 33-363, Management of Records, and disposed of IAW Air Force Records Information Management System (AFRIMS) Records Disposition Schedule (RDS).
2 AFI90-201_AFMCSUP 6 JULY 2017 SUMMARY OF CHANGES This document is substantially revised and must be completely reviewed. This AFMC Supplements guidance implemented in AFI90-201_AFGM2016-02, and subsequent AFI90-201_AFGM2017-01, dated 26 January 2017. In addition to aligning command guidance with parent instruction, this supplement standardizes Center and Wing CCIP responsibilities; updates mission assurance exercise guidance; introduces continual evaluation business rules; streamlines Special Access Program guidance in line with parent instruction; revises IGEMS deficiency management processes and accompanying flowchart and removes mandatory 0-6 grade requirement for Center IGs. When a requirement is mandated for compliance at the Wing/Center level throughout this Instruction, the requirement is tiered, signifying the appropriate waiver authority to the requirement and is indicated in parentheses (T-0, T-1, T-2, or T-3) following the sentence/paragraph that drives the requirement, IAW AFI 33-360. 1.5.11.1. AFMC will execute continual evaluation by establishing roles, responsibilities in AFMC staff business rules (OPR: AFMC/IG; OCR: AFMC Staff Directorates and AFMC Centers) approved and signed by AFMC/CV. 1.5.11.2.2. (Added) MAJCOM Functional Managers/Functional Area Managers Centralized Activity Functional Managers will classify SACs in MICT for specific unit types (ABW, Test Wing, Air Logistics Complex, etc.). 1.5.11.12.1. (Added) Center and Wing IGs will ensure all SAV observations and results identified as deficiencies are documented in IGEMS and crosschecked with MICT as part of the Commander s Inspection Program. (T-3) 1.5.11.13. (Added) MFMs/FAMs/CAFMs appointed as Inspection Functional Leads to satisfy AFMC/IG inspection requirements, will also assist in the quarterly reporting of deficiencies, strengths and analytical trends within their functional areas. This will include CAFMs external to AFMC (e.g., Air Force Personnel Center, Air Force Metrology and Calibration Program, Air Force Installation & Mission Support Center, etc.) Inspection Functional Leads will record inspection deficiency and strength data within the 1 Jan - 31 Mar, 1 Apr - 30 Jun, 1 Jul - 30 Sep and 1 Oct - 31 Dec reporting periods, as well as assess 24-month deficiency trends for a consolidated AFMC Quarterly Inspection Working Group. AFMC/IG will staff Business Rules with the AFMC Directorates to outline the individual and mutual responsibilities. (T-2) The IG will provide the data pull from IGEMS for UEI, CCIP and USAP identified deficiencies, by functional area, for the MFMs/FAMs/CAFMS to accomplish the quarterly trend analysis. This data pull will be provided at least two weeks before it is due for the QWIG discussions. (T-2) 2.2.1. (Added) AFMC has 14 CCIPs at six wings (i.e., 72d Air Base Wing [ABW], 75 ABW, 78 ABW, 88 ABW, 96th Test Wing [TW] and 412 TW) and eight wing-equivalents (i.e., 66th Air Base Group, Arnold Engineering and Development Complex, Air Force Life Cycle Management Center, Air Force Nuclear Weapons Center, Air Force Research Laboratory, Air Force Sustainment Center, Air Force Test Center, and Air Force Installation and Mission Support Center). 2.2.2. (Added) The Oklahoma Air Logistics Complex, Ogden Air Logistics Complex, Warner Robins Air Logistics Complex, 448th Supply Chain Management Wing, 635th Supply Chain Operations Wing and the 711th Human Performance Wing are non-wings for the purposes of AFIS; therefore, these wings/wing equivalents do not have a standalone CCIP.
AFI90-201_AFMCSUP 6 JULY 2017 3 2.2.3. (Added) Center IGs will provide non-wing equivalent subordinate organizations IG oversight, policy standardization, Gatekeeping and IGEMS/MICT administration oversight. (T- 2) 2.5.6.1. (Added) Contractors SMEs will complete a nondisclosure agreement IAW FAR 9.5 unless otherwise provided for under terms of their contract. (T-2) 2.5.12.1. (Added) Permissions and access to specific program information systems will be granted to the IG personnel and their assigned augmentees having the appropriate security clearance for the purpose of inspecting, conducting research and planning inspections. (T-2) 2.5.13. (Added) Special Access Program (SAP). AFMC units operating SAPs are subject to AFMC/IG inspections. 2.5.13.1. (Added) AFMC/IG will conduct SAP inspections in coordination with the AFMC SAPMO (AFMC/A5/8Z) and in accordance with applicable MOAs, Air Force and DoD policies and instructions to SAPs. AFMC/A5/8Z is the designated interface between SAP field units and the AFMC functional staff, including AFMC/IG. Via secure channels, AFMC/IG, in coordination with AFMC/A5/8Z, will notify the Assistant to the Commander for Special Programs (ACSP) for each respective Center, who will, in turn, notify the highest level of unit leadership with appropriate accesses concerning impending inspections. Under the direction of HQ AFMC/IG, AFMC SAPMO (AFMC/A5/8Z) will manage SAP Security inspection execution and training in accordance with applicable MOAs, Air Force and DoD policies. 2.5.13.2. (Added) Inspection Report Handling. The SAP inspection report will be an independent report. AFMC/IG will draft, finalize, and appropriately distribute the report via AFMC/A5/8Z. Report disposition will be IAW AFI 33-364, Records Disposition-Procedures and Responsibilities, and will be maintained within appropriate channels and made available only to those personnel with the appropriate program access. 2.5.13.3. (Added) Reporting, Tracking, and Closing Deficiencies. The Corrective Action process applies to SAP offices with the exception of the use of IGEMS. The inspected SAP unit will answer deficiencies on an AFMC Form 21, Instructions for AFMC IG Deficiencies Response. Replies will be sent via appropriate program channels to AFMC/IG via AFMC/A5/8Z. For SAP Security inspections, JAFAN 6/0, para 1-206 B.4. (b), requires a copy of completed SAP Format 19 within 10 working days following completion of the inspection. 2.5.13.4. (Added) Unit Self-Assessment Program (USAP). SAP offices will comply with USAP requirements, as applicable, per program management guides. Exception: SAP Offices will complete, maintain, and send their SACs, USAP reports, deficiencies or corrective action plans (CAP) as required to the Center USAP Manager, Command USAP Manager in AFMC/IG or to AFMC/IG personnel within SAP secure channels. Although SAP offices will retrieve the most current SACs from MICT, SAP offices will not enter SAC responses into MICT until a SAP secure form of MICT is available. 2.8.1.1. (Added) AFMC/IG may appoint/use trusted agent(s) prior to and after the official notification of an inspection, as needed, to obtain additional details, to help plan, support and/or execute an inspection. Trusted agents will not disclose information concerning upcoming inspections, except with the AFMC/IG or other AFMC/IG appointed trusted agents. Trusted agents will make every attempt to obtain the requested information for AFMC/IG. If unable to
4 AFI90-201_AFMCSUP 6 JULY 2017 produce the information, they will nominate additional trusted agents, with access to the needed information to the AFMC/IG, for approval. (T-2) 2.8.4. (Added) Observers for Unit Effectiveness Inspections (UEI). 2.8.4.1. (Added) The inspected unit may allow observers from other units to observe the inspection processes on a non-interference basis. The inspected unit is responsible for all unitsponsored observers. Observers are not permitted to attend AFMC/IG team meetings or view internal AFMC/IG processes. The inspected unit must inform the AFMC/IG in advance of the specific number of observers, the activities they may observe and rules of engagement they must obey. Military observers will wear appropriate military uniforms during all periods of observation. Civilian observers will wear business attire. The inspected unit will provide identification badges for observers. (T-2) 2.8.4.2. (Added) AFMC/IG may invite non-afmc/ig funded observers. AFMC/IG will determine observers level of access to inspection activities and internal AFMC/IG processes. AFMC/IG sponsored observers will be credentialed by the AFMC/IG and should be transparent to the inspected unit. (T-2) 2.8.4.3. (Added) Types of AFMC IG Observers during UEIs: 2.8.4.3.1. (Added) Cat 1: Senior Leader (AFMC IG Host): Back-stage pass to observe IG Team operations building up to an inspection and on the ground during active inspection Center IGs, AFIA, HQ 2Ltr, MAJCOM/IG, Wing/Group CCs/CVs. 2.8.4.3.2. (Added) Cat 2: Guest of Inspected Unit (Unit Host) Typically Wing/Directorate WIT/USAP/QA personnel AFMC/IG has no direct relationship. 2.8.4.3.3. (Added) Cat 3: Augmentee to IG Team (AFMC IG Host) Augment IG Team as an Inspector (must be qualified) Typically Lt Col/GS-14 or equivalent and below in a specific functional area AFMC IG has determined needs to be evaluated and AFMC/IG does not have the knowledge, training or experience required. 2.9.1.1.1. (Added) Gatekeeper Meeting. The AFMC Gatekeeper will chair and conduct a monthly Gatekeeper meeting. HQ AFMC 2-letter POCs and special staff are encourage to attend. In addition, strategic Gatekeeper meetings will be held on a quarterly basis to deconflict or consolidate upcoming inspections. (T-2) 2.9.1.1.1.1. (Added) Monthly Gatekeeper Meetings. These meetings are designed to provide insight regarding upcoming inspections, audits, and SAVs within the Command, as well as to address and resolve key issues that could delay or hinder the scheduled inspections within the 12-month period. 2.9.1.1.1.2. (Added) Quarterly AFMC Strategic Gatekeeper Meeting. The AFMC Strategic Gatekeeper meeting is designed to provide HQ AFMC 2 & 3-letter POCs a strategic look into future inspection, audit, and continual evaluation events. Scheduled inspection events will be reviewed to determine ways to reduce the inspection footprint and maximize inspection whitespace for a given location. Key members of the HQ AFMC staff will be invited to attend this quarterly strategic review along with the designated Center/Wing Gatekeepers. (T-2) The Quarterly AFMC Strategic Gatekeeper Meeting may replace the Monthly Gatekeeper Meeting during applicable months.
AFI90-201_AFMCSUP 6 JULY 2017 5 2.9.1.1.1.3. (Added) The Gatekeeper site is located here: https://cs.eis.af.mil/sites/10161/afmc/default.aspx. 2.9.1.2.1.1. (Added) Center/Wing Commanders, or their designated CVs, will appoint Gatekeepers for the respective CCIPs. (T-2) Each Center/Wing-level Gatekeeper is required to sign a non-disclosure agreement. 2.9.1.2.2.1. (Added) Centers and Wing Gatekeepers will maintain oversight of the Base-level Gatekeeper Calendar to ensure all major inspections, audits, SAVs, major events and local inspections are added to the AFIA Wing Gatekeeper Calendar and the information is up to date. Calendars will be built for current calendar year plus one for a total of two years in order to deconflict future inspections at the base and MAJCOM level. (T-2) 2.9.1.6.1. (Added) All inspection requests external to a unit's responsible Center must be routed through the AFMC Gatekeeper. AFMC directorates, field operating agencies and special staffs that are planning audits or SAVs must submit a visit request to the AFMC Gatekeeper via email to: HQAFMC.IG.GATE@us.af.mil no later than 30 days prior to scheduled visit. Center and Wing-level Gatekeepers will redirect all agencies requesting access to their assigned installation to the assigned AFMC Gatekeeper prior to approving any site visits. (T-2) 2.9.1.6.2. (Added) All site visit requests will include the following information in order to gain approval from the AFMC Gatekeeper: inspecting agency, purpose of the visit, base and organization to be visited, number of inspectors/auditors on the team, proposed date the team will be visiting a location, and the name and contact information of the requestor or Inspection/Audit POC. All visits to SAP activities shall follow approved DoD visit notification actions via appropriate channels. (T-2) 2.9.2. (Added) Temporary Exemptions. All AFMC units are subject to applicable AFMC/IG activities unless specifically exempt as outlined below. (T-2) 2.9.2.1. (Added) Center Commanders may request a temporary inspection exemption from the AFMC/IG (e.g., for a specific inspection activity or any portion of a specific inspection activity). Temporary exemptions to SAP Security Inspections may be requested to accommodate mission requirements; however, they must be completed within the 18-24 month inspection cycle. 2.9.2.2. (Added) Processing Exemption Requests. Center Commanders exemption requests submitted to AFMC/IG must include a detailed justification, specific activity to be exempted, and an exemption expiration date. AFMC/IG will coordinate with applicable AFMC directorate(s) and AFIMSC Detachment before making a determination to approve/disapprove the temporary exemption. AFMC/IG will inform AFMC/CC if the temporary exemption applies to the entire installation. (T-2) 2.10.1.3.1. (Added) Semi-Annual Inspection Council will be satisfied using the existing AFMC Corporate Process IAW AFMCI 90-601, AFMC Corporate Structure. 2.14.2.1. (Added) BSAT Inspection. Attachment 18 contains BSAT inspection criteria. The Secretary of the Army is the DoD Executive Agent for the DoD BSAT Biosafety Program and responsible for inspection activities. Responsibilities for each DoD component are addressed in Army Directive 2016-24. Biosafety inspections are conducted IAW DoD BSAT Biosafety Program Office/Executive Agent Detailed Inspection Plan (DIP) FY17. Air Force specific requirements for Biosecurity are still the responsibility of HQ AFMC/IG and include: Physical
6 AFI90-201_AFMCSUP 6 JULY 2017 Security, Information Security, Personnel Security, Cyber Security, Personally Identifiable Information(PII) and Personal Health Information (PHI). BSAT inspections will utilize a 3-tier rating scale: IN COMPLIANCE, IN COMPLIANCE WITH COMMENTS, or NOT IN COMPLIANCE. (T-2) 2.16.5.1. (Added) AFMC/IG will evaluate SIIs IAW the SII instructions. (T-2) 2.16.9. (Added) Purpose. The CII program provides command-level visibility into the extent, impact and status of specific known or suspected problems. It is also a means to gather data to evaluate the status of specific programs and conditions in the field requiring MAJCOM attention. Based on the added workload to the field caused by CIIs, AFMC/IG will attempt to limit active CIIs to no more than four. 2.16.9.1. (Added) CII Duration. All AFMC CIIs will have duration of not more than one year. Based on the CII data collected during that year, the AFMC functional OPR can request extensions of the CII up to one year increments. AFMC functional OPR will coordinate CII extensions with applicable AFMC directorates and gain approval from AFMC/CC. 2.16.9.2. (Added) CII Reporting. CII instructions will include specific guidance for completion (i.e. who, what, when, etc.). Center and Wing IGs are responsible for tracking self-identified and AFMC/IG-identified CII deficiencies. 2.16.9.3. (Added) CII Creation, Coordination, Approval and Implementation Process. AFMC directorates and/or AFIMSC recommend CIIs to AFMC/CC for approval. A functional OPR will be designated for each CII who is responsible for creating, staffing, obtaining approval and distributing the CII. 2.16.9.3.1. (Added) Creation. The AFMC CII functional OPR, in coordination with AFMC/IG, prepares a proposed CII using the AFMC CII format. The assigned AFMC CII monitor will review the proposed CII for standardization, question clarity, and reference validity prior to AFMC staff coordination. 2.16.9.3.2. (Added) Coordination and Approval. Once AFMC/IG reviews/approves the proposed CII, the AFMC/AFIMSC functional POC will then coordinate the CII with all applicable AFMC directorates and gain AFMC/CC approval. 2.16.9.3.3. (Added) Implementation. Once the CII is approved by AFMC/CC, AFMC/IG will send the CII via SOCCER, and any additional guidance to the appropriate Centers and Wings. (T-2) 2.17. HQ AFMC/IG manages The Inspector General s Inspection Reporting System (TIGIRS) for AFMC units, to include access to, and training requirements for, the Inspector General Evaluation Management System (IGEMS) and the Management Internal Control Toolset (MICT) 2.17.1.3.1.1. (Added) A Contractor must provide their Contract Expiration date to the MAJCOM IGEMS Administrator in order to load the date into the IGEMS Contract expiration field of a Contractor s user profile. Non-MAJCOM Administrators (Center or Wing Administrators) will enforce this requirement upon processing a new user IGEMS account for Contractors. (T-2) 2.17.1.3.3. (Added) IGEMS/IGEMS-C Access. AFMC/IG Administrators are responsible for granting permission/access to Wing and Center Administrators. Wing and Center Administrators will be responsible for granting access to their respective unit personnel.
AFI90-201_AFMCSUP 6 JULY 2017 7 2.17.1.3.4. (Added) IGEMS/IGEMS-C Access for Wing and Center Administrators. Wing and Center Administrators must complete a DD Form 2875, System Authorization Access Request, in order to be granted access to IGEMS. Forms must be completed in their entirety and should be sent to the IGEMS helpdesk for processing. Once the submitted DD 2875 has been processed by the IGEMS helpdesk, the Wing and Center Administrators will receive an email notifying them they are able to proceed with registering for an IGEMS account. Wing and Center Administrators should select the following roles when registering for the IGEMS account: Non- MAJCOM IG User, Basic User, Planner, Scheduler, Inspector, and Administrator, as applicable. After the Wing and Center Administrators have registered for an IGEMS account, the AFMC/IG Administrator is responsible for approving or denying the request. Wing and Center Administrators will notify the AFMC/IG Administrators of any personnel changes to ensure access to IGEMS stays current. 2.17.1.3.5. (Added) IGEMS/IGEMS-C Access for Unit Personnel. Wing and Center IGEMS Administrators are responsible for granting permission/access to unit personnel. Unit personnel must complete a DD Form 2875, System Authorization Access Request, in order to be granted access to IGEMS. Forms must be completed in their entirety and should be sent to the IGEMS helpdesk for processing. Once the submitted DD 2875 has been processed by the IGEMS helpdesk, the requestor will receive an email notifying them they are able to proceed with registering for an IGEMS account. The requestor should select the following roles when registering for the IGEMS account: Non-MAJCOM IG User and Basic User. Wing and Center IGEMS Administrator can change permissions if a higher level is required. After the user has registered for an IGEMS account, the Wing or Center IGEMS Administrator is responsible for approving or denying the request. The user will notify the Wing or Center IGEMS Administrator of personnel changes to ensure access to IGEMS stays current. 2.17.1.3.6. (Added) IGEMS/IGEMS-C Training. Training will be obtained two ways. First, members can request access to the IGEMS Test and Training site to get familiarization with creating inspections and or deficiencies. This site mirrors the IGEMS Production (active) site. Second, within both IGEMS Production and the IGEMS Test and Training site, members can also access the Help CBT for additional step by step training. If additional training is required, contact the AFMC/IG Administrator. 2.17.1.3.7. (Added) IGEMS Support. Unit personnel (i.e., Non-MAJCOM IG Users) experiencing problems within IGEMS should first contact their Wing or Center IGEMS Administrator for resolution. If the Wing or Center IGEMS Administrator is unable to resolve the issue, it should be elevated to the AFMC/IG IGEMS Administrator and IGEMS Helpdesk. 2.17.1.3.8. (Added) IGEMS Requirements. All requirements for IGEMS will be submitted to the Center IGEMS Administrator, who will in turn forward to the AFMC/IG IGEMS Administrator for presentation to the IGEMS Requirements Board. The board is a bi-annual Functional Review Board (FRB), chaired by the Air Force Inspection Agency and AFMC/IG will represent the MAJCOM to present and vote on future software implementations. (T-2) 2.17.2.1.1. (Added) MICT Business Rules. 2.17.2.1.1.1. (Added) MICT Access. Unit Administrators are responsible for granting permission to unit members. (T-2). This is accomplished by a member going to the Assistance Tab within MICT and requesting unit permissions. Once a member has requested unit permissions, an email will be sent to the unit administrator stating that the member has requested
8 AFI90-201_AFMCSUP 6 JULY 2017 unit permissions. The unit administrator is responsible for approving or denying the request. Unit permissions are set to default to Assessor permission. The unit administrator can change a member s permissions if a higher level is required. The Unit Administrator will enter the Contract Expiration date into the MICT expiration field of a Contractor s user profile. 2.17.2.1.1.2. (Added) MICT Training. The AFMC MICT Administrator is responsible for training each Wing and Center MICT Administrator, who in turn is responsible for training their unit administrators. Training videos are located in the Help Guides under the Assistance Tab. For FAM permission, the MFMs/FAMs/CAFMs must take FAM Training via the MICT online training modules for FAMs as well as sign the AFMC FAM Business Rules for MICT. 2.17.2.1.1.3. (Added) MICT Support. Unit members experiencing problems within MICT should first contact their unit administrator for resolution. If the unit administrator is unable to resolve the issue, it should be elevated, in turn, to the next higher MICT management level 2.17.2.1.1.4. (Added) MICT Requirements. All requirements (Baseline Change Requests or Deficiency Reports) for MICT will be submitted to the Unit Administrator, then the Center/Wing MICT Administrator, who will in turn forward to the AFMC MICT Administrator for validation/presentation to the MICT Functional Review Board (FRB). 2.17.2.3.5.1.1. (Added) If a new policy is posted to epubs, the policy owner will author and publish a SAC in MICT within 10 calendar days. 2.17.2.3.5.1.2. (Added) If a policy is updated and re-posted to e-pubs, the SAC author must provide updates to the MICT Administrator via AFMC.MICT@us.af.mil for incorporation into the next quarterly SAC update cycle IAW paragraph 2.17.2.3.5.1. (T-2) 2.18.7. (Added) NLT 30 calendar days after the CCIP final inspection, the report will be loaded in IGEMS. (T-2) 2.18.8. (Added) Outstanding Performers/Teams for UEIs. 2.18.8.1. (Added) AFMC/IG team members occasionally observe individuals or teams whose contributions to the unit's mission accomplishment clearly exceed their peers. The IG Team Chief will recognize individuals or teams as Outstanding Performers/Teams. 2.18.8.2. (Added) The AFMC/IG will validate each candidate s qualifications with the supervisor, first sergeant or unit commander. 2.18.8.3. (Added) Individual nominations are limited to personnel in grades E-7, O-4, WG-10 or GS-13 or equivalent and below who meet all appropriate quality force standards. Individual contractor personnel shall not be recognized as outstanding performers. 2.18.8.4. (Added) Team nominations can be comprised of military, civilians and in some cases support contractors (Per AFI 36-1004). No grade restrictions apply to teams; however, they cannot be comprised solely of contractors. 2.19.1.1. (Added) IAW AFI 91-202, paragraph 1.8.12 and Chapter 3, Safety Program Evaluations of the mishap prevention programs managed by center, wing (or installation) and complex safety staffs will be documented in the applicable UEI report or, at the IG's discretion, in the discussion of the MGA "Improving the Unit," sub-mga "Process Operations" of the UEI report and graded, in accordance with AFI 90-201 paragraph 4.9.4, in the UEI executive
AFI90-201_AFMCSUP 6 JULY 2017 9 summary. Safety program evaluation results will be reported to the AFMC/CC biannually at the ESOH Council. 2.19.1.2. (Added) Observations are additional deficiencies that AFMC IG may identify and add to the inspection report. They are: Detected Safety Violation (DSV), Technical Data Violation (TDV) and Unsatisfactory Condition Report (UCR). Do not document a separate DSV on an individual undergoing a technical evaluation since the unsafe act automatically results in a "Fail" rating. Annotate the failure with "Safety" when a safety violation is committed during an evaluation. (T-2). 2.19.2.1.1. (Added) When a Center/Wing IG is considering writing a deficiency against an organization outside their organization, follow guidance IAW paragraph 2.19.7. AFMC Center/Wing IGs where applicable, must courtesy copy both the tenant and host base unit, during the inspection and follow the external deficiency notification process. (T-2) 2.19.2.2.1. (Added) Additionally, AFMC IG, Center IGs and Wing IGs should consider documenting deficiencies in IGEMS and annotating one of the following reasons: each deficiency: 2.19.2.2.1.1. (Added) Unit accomplished the applicable self-assessment communicator and did not detect non-compliance; however, the IG identified non-compliance (deficiency). 2.19.2.2.1.2. (Added) Unit accomplished the applicable self-assessment communicator and detected non-compliance; however, the Corrective Action Plan was not viable/properly implemented. 2.19.2.2.1.3. (Added) Unit did not accomplish the applicable self-assessment communicator and the IG identified non-compliance (deficiency). 2.19.2.2.1.4. (Added) No self-assessment communicator item associated with this deficiency. 2.19.6.5. (Added) Validation of potential deficiencies serves as a crosscheck to ensure inspection report accuracy. AFMC/IG validates with the MFMs/FAMs/CAFMs and/or cognizant subject matter expert (SME) to verify the inspector s policy interpretation. The AFMC/IG inspection Team Chief makes final determination on potential deficiencies (to include severity level). Once a Critical or Significant deficiency is validated with the MFMs/FAMs/CAFMs and validated with the unit, the deficiency is final and will be included in the final report. (T-2) 2.19.6.6. (Added) Each AFMC Directorate may have its own procedures established for validation of AFMC/IG inspection deficiencies. AFMC/IG inspectors should use the AFMC Directorate s established process for validation. If AFMC Directorate-specific validation procedures do not exist for a functional area, then AFMC/IG inspectors will crosscheck all potential Significant and Critical deficiencies with AFMC SMEs within the AFMC Directorate or applicable FOA, DRU, AFIMSC, etc. (T-2) 2.19.6.7. (Added) AFMC/IG Functional Leads must ensure MFMs/FAMs/CAFMs are suitably aware of inspection dates and may be contacted throughout the entire inspection for validation. (T-2) 2.19.6.8. (Added) The unit validation process relies on constant communication between the AFMC/IG and the unit throughout the course of the inspection. This includes potential deficiencies transmission, unit responses and daily leadership feedback. (T-2)
10 AFI90-201_AFMCSUP 6 JULY 2017 2.19.6.9. (Added) Mitigation Process 2.19.6.9.1. (Added) For all findings during the UEI CAPSTONE event, the AFMC/IG will electronically transmit the IG Daily Activity Summary, which will include potential deficiencies, task evaluation/quality verification audit results, mitigation determinations and any other pertinent information. Mitigations will include a request to either change in severity, revise or delete. If mitigation is not received, the deficiency will stand as originally written. (T-2) 2.19.6.9.2. (Added) The inspected unit is permitted to informally mitigate any potential deficiency received in the IG Daily Activity Summary through communication with the respective Inspection Team lead. If the unit decides to formally mitigate, they will do so through the provided EIM site in accordance with AFMC/IG provided timelines. The AFMC/IG Team Chief will approve exceptions to the consolidated responses on a case by case basis. (T-2) 2.19.6.9.3. (Added) The AFMC/IG Team Chief will provide feedback to the inspected unit s senior leadership. Once a MINOR, SIGNIFICANT or CRITICAL deficiency is validated with the unit and validated with the appropriate MFMs/FAMs/CAFMs, the AFMC/IG considers the deficiency final, and will include the deficiency in the final inspection report. The AFMC/IG or Team Chief makes final determination on potential deficiencies. (T-2) 2.19.8.1. (Added) Inspecting Center/Wing IG will send deficiencies to the owning IG via email, as well as courtesy copying AFMC/IG via the HQAFMCIG.deficiency.management@us.af.mil mailbox. (T-2) 2.19.8.2. (Added) During AFMC/IG UEI inspections, AFMC IG will follow the external deficiency notification process in paragraph 2.19.8. Furthermore, when AFMC IG is conducting an on-site inspection and a finding is discovered on an AFMC organization which is unrelated to the inspected unit, AFMC will annotate the finding as Continual Evaluation finding in the 24- month Continual Evaluation sub-inspection report. (T-2) 2.19.9. For creating both AFMC/IG-identified (UEI) deficiencies and CIT/WIT-identified (CCIP) deficiencies in IGEMS, follow the current AFMC/IG Writing Guide for standardized deficiency format. (T-2) 2.19.9.5.1. (Added) AFMC/IG will include impact statements with SIGNIFICANT and CRITICAL deficiencies. (T-2) 2.19.10.1.2. (Added) Once a UEI report is finalized (NLT 30 calendar days from the end of the inspection), the AFMC/IG IGEMS Administrator will assign three POCs to each CRITICAL, SIGNIFICANT and Repeat Minor deficiency: The Organization POC (the relevant Center or Wing IG), the IG POC (a member of AFMC/IG core staff) and the MFMs/FAMs/CAFMs. To begin the deficiency closure process, the AFMC/IG IGEMS Administrator assigns the deficiency to the Organization POC. The inspected unit (via the Organization POC) has 45 calendar days from the date of the final report to complete the Problem Breakdown, Root Cause, Root Cause Analysis (RCA) Methodology, and Corrective Action Plan (CAP)/Countermeasures sections in IGEMS. The RCA, Deficiency Cause Code, CAP included in these sections must be routed and approved by the relevant Center IG or relevant Wing IG for their review and approval prior to submission to AFMC/IG via IGEMS. To submit these sections for review by the IG POC, the Organization POC completes the sections and marks the deficiency as Proposed. (T-2)
AFI90-201_AFMCSUP 6 JULY 2017 11 2.19.10.1.3. (Added) For all non-repeat Minor deficiencies, at a minimum, Units must complete the root cause which includes the deficiency cause code and RCA methodology section in IGEMS. These are mandatory fields required to close a deficiency. If it is a Repeat Minor, the Corrective Action POC will also develop and enter a CAP in IGEMS approved by the Center/Wing IGs NLT 45 calendar days. (T-2) 2.19.10.1.4. (Added) Once the CRITICAL, SIGNIFICANT or Repeat Minor deficiency is in Proposed status, the IG POC (a member of AFMC/IG core staff) and appropriate MFMs/FAMs/CAFMs POC have 15 calendar days to review the RCA/CAP submission in IGEMS. If the IG POC in coordination with the MFMs/FAMs/CAFMs POC determine the RCA/CAP is sufficient, the IG POC marks the deficiency as Accepted and updates the suspense to match the approved CAP timeframe, the deficiency flows back to the Organization POC. If the IG POC and MFMs/FAMs/CAFMs POC determine the RCA/CAP is insufficient per paragraph 2.19.9.1.6., the IG POC marks the deficiency as Rejected, provides feedback for the rejected RCA/CAP and indicates the new suspense date for an updated RCA/CAP. The deficiency then returns as Opened to the Organization POC for revision and re-proposal. Process starts over. (T-2) 2.19.10.1.5. (Added) In IGEMS, once the Unit has implemented the CAP and is ready to request closure, the Organization POC changes status to Implemented. The IG POC options are to Close Deficiency or Reject Implemented Action. The final closure authority is designated as whomever is assigned as IG Team Lead for the associated inspection. See Figure 2.5. for AFMC closure process for CRITICAL, SIGNIFICANT and Repeat Minor Deficiencies. (T-2) Figure 2.5. (Added) AFMC IGEMS Deficiency Management Flowchart (CRITICAL /SIGNIFICANT /NSI Repeat Minor Deficiencies Only).
12 AFI90-201_AFMCSUP 6 JULY 2017 2.19.10.1.6. (Added) MFMs/FAMs/CAFMs and AFMC/IG will evaluate root cause analyses and corrective action plans for sufficiency and effectiveness. The applicable IG will coordinate CAP prior to submission to AFMC/IG via IGEMS. (T-2) 2.19.10.1.6.1. (Added) Root Cause Analysis tools focus on fact-based analysis (e.g. Five- Whys, Brainstorming, etc.). General statements (e.g. lack of manning, improper training, etc.) without supporting facts and documentation will be deemed insufficient. Include Deficiency Cause Codes and Explanation assigned from Attachment 7. (T-2) 2.19.10.1.6.2. (Added) Corrective Action Plans will describe/address: (T-2) 2.19.10.1.6.2.1. (Added) Does the RCA identify the root cause? 2.19.10.1.6.2.2. (Added) Is the CAP realistic and achievable? 2.19.10.1.6.2.3. (Added) Can the CAP be implemented by the unit? 2.19.10.1.6.2.4. (Added) How the unit immediately mitigated mission impact (i.e. actions already taken) and the plan for sustained mitigation until lasting solution is in place. 2.19.10.1.6.2.5. (Added) Sense of urgency reflected in an aggressive timeline, realistic completion dates and remaining actions. 2.19.10.1.6.2.6. (Added) Level of leadership involvement (e.g., unit through Center Commander, HHQ involvement, etc.) and collaboration with functional experts. 2.19.10.1.6.2.7. (Added) Preventative measures in place and scheduled to be in place. 2.19.10.1.6.2.8. (Added) Limiting factors, if any. 2.19.10.1.6.2.9. (Added) Is the unit monitoring the CAP and making progress towards completing the milestones 2.19.10.1.7. (Added) Aged Deficiencies. CRITICAL deficiencies open longer than 6 months and SIGNIFICANT deficiencies open longer than 9 months will be briefed as part of the MAJCOM HQ battle rhythm. (T-2) 2.19.10.6.1. (Added) UEI and CCIP inspections must annotate a Fraud, Waste and Abuse deficiency by selecting the PFW&A box in the draft deficiency write-up. (T-2) 2.19.10.7.1. (Added) UEI and CCIP inspections must annotate a HHQ deficiency by selecting the HHQ box in the deficiency write-up. (T-2) 2.19.10.8.1. (Added) Functional OPR will provide official acknowledgements to the AFMC/IG Workflow mailbox (afmc.ig.workflow@us.af.mil). (T-2) 2.19.14.1. (Added) UEI and CCIP inspections must annotate a repeat deficiency by selecting the Repeat Deficiency box in the deficiency write-up. (T-2) 3.1.1.1. (Added) AFMC/IG will accomplish Management Inspections (MI) on the National Museum of the United States Air Force. AFMC/IG is the approval authority for the AFMC MI schedule, which is maintained on the AFMC Gatekeeper SharePoint. 3.5.2.10.1. (Added) AFMC maintains a MAJCOM Internal Self-Assessment Program (MISAP), led by AFMC Director of Staff (DS).
AFI90-201_AFMCSUP 6 JULY 2017 13 4.4.2.1.1.1. (Added) AFMC/IG will collaborate with MFMs/FAMs/CAFMs on a continual basis covering areas of concern or inspection focus areas. (T-2) 4.4.2.2.1. (Added) AFMC/IG assesses Commander s Inspection Program (CCIP) and documents the results in inspection reports. During the UEI cycle, AFMC/IG will review inspected organizations MICT & IGEMS data. An effective unit self-assessment program depends on all Airmen reporting honestly on whether or not they comply with all directives and reporting to their supervisors when they cannot comply, IAW paragraph 2.2. (T-2) 4.4.2.2.2. (Added) Units will ensure all supporting documents linked to internet based resources will properly function/open for virtual continual evaluation purposes. If utilized, links will point directly to the required supporting documentation and not just the general heading or library of related but not pertinent documents. 4.5.2.11.1. (Added) AFMC/IG references the ANSI/ASQ Z1.4-2008 to develop the Risk-Based Sampling Strategy for population and attribute-based programs. (T-2) 4.6. See HQ AFMC s Business Rules for additional continual evaluation guidance. (T-2) 4.7.2.2. (Added) Contractors should not participate in surveys unless otherwise provided for under terms of their contract. (T-2) 4.8.2.2.1. (Added) ATIS-G and/or ATIS-I will be conducted on-site by the AFMC/IG Inspection Team. (T-2) 4.8.4.1. (Added) If AFMC/IG conducts a no-notice inspection the AFMC/IG Team Chief will present an Entry Authorization List (EAL) to the Command Post on the first day of the visit. (T- 2) 4.8.4.2. (Added) AFMC/IG may conduct Continual Evaluations (Audits, Evaluations and Observations) of organizations that are subordinate to/geographically separated from their parent CCIP. Information gathered from these events will be used to complete the UEI of the parent CCIP. For example, a Continual Evaluations of AFLCMC organizations at Eglin AFB and/or Peterson AFB will be used to complete the UEI of AFLCMC during a Capstone visit at Wright- Patterson AFB. (T-2) 4.8.4.3. (Added) AFMC/IG audits include, but are not limited to Logistics Process Audits (LPA), Life Cycle Management Process Audits (LCMPA), Science and Technology Process Audits (STPA), and Test and Evaluation Process Audits (TEPA). (T-2) 4.10.1. (Added) Augmentee Inspector Program 4.10.1.1. (Added) Purpose. AFMC/IGs use augmentee inspectors, as needed, to supplement functional expertise of the inspection team. Augmentee inspectors are vital to inspection success and continuous process improvement throughout AFMC. AFMC/IG primarily selects augmentee inspectors from within AFMC and will provide all needed training. 4.10.1.2. (Added) Benefit. Augmentee inspectors provide enhanced cross-tell within AFMC by sharing recommended improvement areas with inspected units. The augmentee inspectors also observe inspected units strengths they may considering implementing within their own unit. Additionally, these augmentee inspectors gain unique insight into IG internal processes and inspection techniques that could provide significant benefit to their unit Self-Assessment Programs.
14 AFI90-201_AFMCSUP 6 JULY 2017 4.10.1.3. (Added) MFMs/FAMs/CAFMs (Core Associates) Responsibilities. When requested by the AFMC/IGs, MFMs/FAMs/CAFMs of applicable functional areas will identify augmentees from the field suitable for a specific inspection. AFMC/IG should send requests for augmentee inspectors to the functional staff NLT 30 days prior to the start of the applicable inspection. 5.3.5. (Added) AFMC CCIP Inspection Reports. 5.3.5.1. (Added) For vertical inspections, Center and Wing IGs will place an overall unit Grade in IGEMS as a minimum and a Grade for each MGA assessed following the four-tier rating system. Center and Wing IGs will bin findings into the appropriate MGAs vice placing them only in the "CCIP" sub-mga. (T-3) 5.3.5.2. (Added) For Horizontal Inspections, Center and Wing IGs will bin findings into the applicable MGA and sub-mga, and also place an overall unit Grade in IGEMS for the program(s) assessed following specific functional/program requirements (T-2). Program grade will be entered only after all continual evaluation events are completed. 5.3.5.3. (Added) Upon completion of a vertical or horizontal inspection, CCIP inspection report will be finalized within 30 calendar days. IGEMS administrator, will assign IG and ORG POCs, set suspense date and change status from Pending to Opened for all identified deficiencies. (T-2) 5.3.5.4. (Added) CCIP Inspection in IGEMS must include the following: Inspection Title must follow the naming convention below in the Inspection Note. Template: Inspection Type (Initial or Annual Commander's Inspection Report (CCIR), By-Law: Intel Oversight, By-Law: SAPR, etc.), Location (Base/Site), Inspection Date, Unit(s) being inspected (Wing, Group, Squadron, etc.). Example: By-Law: SAPR, Wright-Patterson AFB, 20-27 Jun 15 (88 CG, 88 CEG, 88 MDG). (T-3) 5.4.2. CCIP owners (i.e. Center/Wing Commanders) will identify the organizational level (Wing, Group, Squadron) within their respective organizations responsible for implementing their units Self-Assessment Program. Unit leadership of identified organizational level will identify applicable SACs within MICT. (T-2) 5.5.6. The Center Commander will determine the closure authority for deficiencies for Center IG identified deficiencies. (T-3) Deficiencies levied against higher headquarters will be handled IAW paragraph 2.19.6. (T-2) 5.7. AFMC requires Commanders to grade their overall assessment and each MGA following the applicable four-tier adjectival rating system, reference paragraph 4.9.4. (T-2) 5.9.2.5.3.1.1. (Added) Wing IGs will utilize the IG Evaluation Management System (IGEMS) to monitor and track exercise deficiencies and corrective actions in the Major Graded Area (MGA) format (for example, Emergency Operations Center (EOC) aligns to Mission Assurance Command and Control under MGA 4). (T-2) 5.9.2.5.3.3. (Added) Wing IGs will ensure sufficient Wing Inspection Team members are assigned and documented as trained to plan, execute and document exercises identified in Table 5.2. (T-2) 5.9.2.5.3.4. (Added) Wing IGs will ensure Wing Inspection Team members will not evaluate personnel who are serving in any position listed in AFI 10-2501, Table 6.1, Table 6.2 or Table
AFI90-201_AFMCSUP 6 JULY 2017 15 6.3 until the evaluator has completed the same training required of the person being evaluated. (T-2) 5.9.2.5.3.5. (Added) Wing IGs will provide an annual exercise inspection schedule to the AFMC Gatekeeper. Wing IGs will provide exercise evaluation results data to wing-level Emergency Management personnel for HHQ reporting/analysis and participate in AFMC Exercise Working Groups, as required. (T-2) 5.9.2.5.3.6. (Added) AFMC/IG may conduct a WIT-led exercise observation of Table 5.2 exercises during the continuous evaluation cycle (wing scheduled event) or scheduled 24 month CAPSTONE visit coordinated with the Wing. (T-2) 5.9.2.5.3.7. (Added) Table 5.2 Readiness Assessments - AFMC Installation Commanders will determine scope, scale and duration. Installations will utilize relevant planning guidance to determine exercise objectives and measures of success (e.g., Installation Deployment Plan, Base Support Plan, Worst-Case Scenario Tasking, etc.). Real-world events may be used to satisfy this requirement if approved by the Installation Commander and documented IAW AFI 10-2501 and DODI 6055.17 (AF-Joint Lessons Learned Information System). Readiness Assessments should include analysis of completed functional readiness-type exercises and/or real-world events. Owning Center Commanders will ensure AFMC tenant organizations participate in host-wing Readiness Assessments within their capabilities. 5.9.2.5.3.8. (Added) Center Commanders will determine scope and scale of Geographically Separated Unit exercise programs utilizing commander intent, risk, cost, reciprocity, resource management and other relevant factors. (T-2) ROGER F. JOHNSON, Colonel, USAF HQ AFMC Inspector General
16 AFI90-201_AFMCSUP 6 JULY 2017 References Attachment 1 GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION AFMC/IG Writing Guide Abbreviations and Acronyms CAFMs Centralized Activity Functional Managers DSV Detected Safety Violation ETE Evaluator Task Evaluation MFMs MAJCOM Functional Managers QVA Quality Verification Audit TE Task Evaluation UCR Unsatisfactory Condition Report Terms AFMC/IG Functional Lead HQ AFMC Staff personnel assigned by the 2-letters as the primary directorate POC. Detected Safety Violation (DSV) A DSV is an observed unsafe act by an individual. The IG evaluator must stop the unsafe act immediately. Evaluator Task Evaluation (ETE) An ETE is the direct evaluation of a Quality Assurance (QA) individual or any individual performing a quality/compliance assurance function in a unit. Quality Verification Audit (QVA) A QVA is an inspection of equipment condition or a process after an inspection, repair action, and/or task has been completed by a technician or supervisor to assess if it was properly completed. The QVA finding will reflect deficiencies by the individual who accomplished the task and identify specific discrepancies Task Evaluation (TE) A TE is the direct evaluation of an individual or team conducting/performing an action. TEs may be conducted on task-oriented functions such as equipment maintenance as well as process-oriented functions such as vehicle dispatch. Technical Data Violation (TDV) A TDV is an observation of any person performing a process without the "required" technical data present at the job site and in use. Additionally, the technician must have knowledge of all general directives associated with the job prior to performing the task. However, these directives may not need to be present at the job site. Do not document a separate TDV on an individual undergoing a Technical Evaluation since failure to use technical data automatically results in a "Fail" rating. Annotate the failure with "Tech Data" when a TDV is committed during an evaluation. Unsatisfactory Condition Report (UCR) An UCR is an unsafe or unsatisfactory condition, other than a DSV, chargeable to the work center supervisor. UCRs will be documented even when it is not possible to determine who created the condition.
AFI90-201_AFMCSUP 6 JULY 2017 17 Attachment 8 WOUNDED, ILL, AND INJURED (WII) INSPECTION REQUIREMENTS A8.1. Background. Congress, as part of the FY08 National Defense Authorization Act (NDAA), requires Inspectors General to inspect government-provided facilities that house patients on medical hold. Section 1662, Access of Recovering Service Members to Adequate Outpatient Residential Facilities, outlines the requirement for inspecting and reporting. In September 2007, DoD issued standards for inspection of facilities for outpatient service members. To ensure compliance with DoD standards, inspectors will use the checklist at the end of this Attachment when performing the WII inspection. (T-0) A8.2. Host Wing IGs will provide the names of a Primary and Alternate POCs to the HQ AFMC/IG WII POC. These members will be granted access to the Air Force Wounded, Ill and Injured Program SharePoint site and will perform monthly updates. A8.3. Pre-Occupancy Inspection. The commander is ultimately responsible for ensuring appropriate steps are taken to meet the member s needs. The goal is to ensure the individual's government-owned housing facility (on-base housing, dormitories and TLFs) needs are met based upon the RSM s medical condition(s). In addition to the scheduled WII inspection, MAJCOM IGs will instruct the RSM s commander to perform a pre-occupancy inspection of the residence (or as soon as possible if notification is not timely enough to allow an inspection before RSM physically occupies the government-owned housing or if the RSM occupied the residence prior to his/her RSM status). Additional personnel deemed necessary shall accompany the commander on the pre-occupancy inspection (the individual's commander, first sergeant, CE commander, housing/dorm manager, and RCC). (T-1) Submit a copy of the completed checklist and all documentation addressing deficiencies to the IG Team Chief upon their arrival for the follow-up inspection. (T-1) A8.3.1. (Added) HQ AFMC/IG delegates inspection authority to AFMC Host Installation Wing Commanders (A8.4.1.1. Below), therefore the Wing/IG will instruct the RSM s Commander to perform a pre-occupancy inspection A8.4. Inspection Process. IG Teams will conduct RSM residence inspections using inspection criteria outlined in Table A8.1. (T-0) The initial and annual WII inspections will be scheduled and documented in IGEMS. All deficiencies will be identified and tracked to closure within IGEMS. (T-1) For those RSMs not requiring quarters modification, paragraph A8.6 still applies. Once an inspection has been scheduled by the MAJCOM IG or Wing IG, an inspection notification memo will be sent to the Installation Commander and RSM s Wing (or equivalent) Commander (if different than the Installation Commander). A8.4.1. Delegation Authority. In order to accomplish inspections in a timely manner, MAJCOM IGs may delegate inspection authority to the host installation wing commander. If delegated, the host wing commander will direct his/her Wing IG to perform the initial and subsequent (recurring, annual) inspections of a Wounded Warrior s residence as defined in this attachment as part of the CCIP. (T-3) IG Team Chiefs will forward inspection results to the MAJCOM IG not later than 3 days following the inspection. (T-2) MAJCOMs, in-turn, will follow report processes as defined in paragraph A8.8.