PWS_Attachment_8-YCP-Operations_Compliance_Checklist_(Oct_16-Sep_17).docx

ChalleNGe Operational and Resource Effectiveness Program/State:

Date:

Functional Area:

Operations Compliance Rate:

Analyst’s Information:

TASK: Maintain Operation Readiness

CONDITION: Given an assignment to the National Guard Youth Challenge Program and applicable references

STANDARD: Using guidance provided in DoDI 1025.8 (Mar02), ChalleNGe Publication 1 (Dec09), ChalleNGe Publication 3-1 (Sep10), National Guard Youth ChalleNGe Program Cooperative Agreement (NGYCP-CA) (Jan12), Recruiting, Placement and Mentoring Operations Manual (26Mar14), NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015, NGYCP-CA, Section 201, paragraph d(3), CORE Program Manager Email containing the Memo from Chief, NG-J1-AY, Chief National Guard Bureau Instruction 9350.01 (Nov15), and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Terminal Task

Participants

1. Do the participants of the Program meet the required eligibility standards?

Ref: DoDI 1025.8, paragraph 4.10.; CP 3-1, Chapter II, paragraph 6A; and NGYCP-CA, Section 201, paragraph e(3); and, Recruiting, Placement and Mentoring Operations Manual.

Inspected Items: Questions 1a-1g below.

1a. Are participants sixteen to eighteen years of age at time of entry into the Program? NOTE: Applicants will not exceed 18 years of age on the 1st day of the Residential Phase.

Ref: DoDI 1025.8, paragraph 4.10.1; CP 3-1, Chapter II, paragraph 6A; and NGYCP-CA, Section 201, paragraph e(3)(a); Recruiting, Placement and Mentoring Operations Manual, page 5.

Inspected Item: Copy of birth certificate in completed Cadet applications.

1b. Are participants high school dropouts (i.e., no longer attending school and not having been awarded a secondary school diploma or equivalent certificate)?

Ref: DoDI 1025.8, paragraph 4.10.1; CP 3-1, Chapter II, paragraph 6A; and NGYCP-CA, Section 201, paragraph e(3)(b); Recruiting, Placement and Mentoring Operations Manual, page 5.

Inspected Item: School release form or signed statement certifying accuracy of information contained in the completed Cadet applications.

1c. Are participants citizens or legal residents of the United States?

Ref: DoDI 1025.8, paragraph 4.10.3; CP 3-1, Chapter II, paragraph 6A; and NGYCP-CA, Section 201, paragraph e(3)(c); Recruiting, Placement and Mentoring Operations Manual, page 5.

Inspected Item: Copy of birth certificate in completed Cadet applications.

1d. Are participants residents of the state in which the Program is operated or with whom the Program has a memorandum of agreement?

Ref: CP 3-1, Chapter II, paragraph 6A.

Inspected Item: Review home address in completed Cadet applications.

1e. Are participants unemployed or underemployed?

Ref: DoDI 1025.8, paragraph 4.10.4; CP 3-1, Chapter II, paragraph 6A; and NGYCP-CA, Section 201, paragraph e(3)(d); Recruiting, Placement and Mentoring Operations Manual, page 5.

Inspected Item: Review employment questions and signed statement certifying accuracy of information contained in the completed Cadet applications.

1f. Are participants of the Program not currently on parole or probation for other than juvenile status offenses, not awaiting sentencing, not under indictment, charges, or convicted of a crime that is considered a felony if charged as an adult?

Ref: DoDI 1025.8, paragraph 4.10.5; and NGYCP-CA, Section 201, paragraph e(3)(e).

Inspected Item: Review criminal background questions and signed statement certifying accuracy of information contained in the completed Cadet applications and any other official criminal background checks.

1g. Are all participants of the Program free from use of illegal drugs or substances?

Ref: DoDI 1025.8, paragraph 4.10.6; CP 3-1, Chapter II, paragraph 6A; and NGYCP-CA, Section 201, paragraph e(3)(f); Recruiting, Placement and Mentoring Operations Manual, page 5.

Inspected Item: Review illegal drugs or substance questions and signed statement certifying accuracy of information contained in the completed Cadet applications.

2. Are all participants capable of participating in the Program?

Ref: DoDI 1025.8, paragraph 4.10.7 and paragraph 6.3.1.2; CP 3-1, Chapter II, paragraph 6A; and NGYCP-CA, Section 201, paragraph e(3)(f).

Inspected Item: Questions 2a-2c below.

2a. Have all participant’s been determined to be physically capable to complete the Program?

Note: Pregnancy testing shall not be used as part of the screening and selection process for Program participation.

Ref: NGYCP-CA, Section 1-4, paragraph a(4); and DoDI 1025.8, paragraph 6.3.1.2.

Inspected Item: Review completed Cadet applications for copy of physical exam.

2b. Have all participant’s been determined to be mentally capable to complete the Program?

Ref: NGYCP-CA, Section 1-4, paragraph a(4); and DoDI 1025.8, paragraph 6.3.1.2.

Inspected Item: Review completed Cadet applications for copy of physical exam.

2c. Has the Program made reasonable accommodations for participants with physical or other disabilities?

Ref: DoDI 1025.8, paragraph 4.10.7; CP 3-1, Chapter II, paragraph 6A; and NGYCP-CA, Section 201, paragraph e(3)(g).

Inspected Item: Interview medical Staff or Director and review Medical or Selection Procedures SOP.

3. Has the Program communicated to all participants (Cadets) that while receiving training under the ChalleNGe Program that they are neither federal employees nor members of the National Guard except under certain provisions of the law?

Ref: DoDI 1025.8, paragraph 6.4 and NGYCP-CA, Section 201, paragraph e(4).

Inspected Item: Questions 3a-3f below.

3a. Has the Program communicated to all participants (Cadets) that they shall be considered federal employees for the purposes of compensation for work injuries?

Ref: DoDI 1025.8, paragraph 6.4.1.1 and NGYCP-CA, Section 201, paragraph e(4)(b).

Inspected Item: Review Program notification process.

3b. Are Cadets processed through the Federal Employees Compensation Act (FECA) when injuries are sustained as a result of participation in the Program?

Ref: NGYCP-CA, Section 1-4, paragraph a(5)(a).

3c. Has the Program communicated to all participants (Cadets) that they shall be considered federal employees relating to the liability of the United States for tortious conduct of employees of the United States?

Ref: DoDI 1025.8, paragraph 6.4.1.2 and NGYCP-CA, Section 201, paragraph e(4)(b).

3d. Has the Program communicated to all participants (Cadets) that they shall not be considered to be in the performance of duty while not at the assigned location of training or other activity authorized in accordance with the Program agreement except when the participant is traveling to or from the location or is on pass from that training or other activity?

Ref: DoDI 1025.8, paragraph 6.4.2.1 and NGYCP-CA, Section 201, paragraph e(4)(c).

3e. Has the Program communicated to all participants (Cadets) that in computing compensation benefits for disability or death, the monthly pay of a participant (Cadet) shall be deemed that received under the entrance salary for a grade GS-2 Federal employee?

Ref: DoDI 1025.8, paragraph 6.4.2.2 and NGYCP-CA, Section 201, paragraph e(4)(d).

3f. Has the Program communicated to all participants (Cadets) that the entitlement of a person to receive compensation for a disability shall begin on the day following the date that the person’s participation in the Program is terminated?

Ref: DoDI 1025.8, paragraph 6.4.2.3 and NGYCP-CA, Section 201, paragraph e(4)(e).

Organization

4. Does the Program meet the mandatory minimum Staffing levels?

NOTE: Mandatory minimum Staffing levels shall be determined by taking the authorized Staffing by graduation target totals, subtracting the discretionary support Staff authorized for that graduation target total, and multiplying that number by 0.8.

Ref: NGYCP-CA, Section 1-26, paragraph a, Note 17.

Inspected Item: Perform calculation from Note 17 to determine mandatory minimum staffing level.

5. If the Program is not meeting mandatory minimum Staffing requirements was prior written approval from the Program Office (NG-J1-AY) received?

Ref: NGYCP-CA, Section 1-26, paragraph a, Note 17.

Inspected Item: Review approval authorization from the Program Office.

6. Are all Program personnel civilian employees of the State or employed under contract with the state?

Ref: DoDI 1025.8, paragraph 6.3.2.1 and NGYCP-CA, Section 201, paragraph f(1).

Inspected Item: Personnel Records.

7. Does the Program Staff have comparable professional qualifications as state employees or contract personnel in similar positions?

Ref: DoDI 1025.8, paragraph 6.3.2.2 and NGYCP-CA, Section 201, paragraph f(3).

Inspected Item: Personnel Records.

8. Is staffing in full time direct support of the ChalleNGe Program mission and requirements?

Ref: NGYCP-CA, Section 1-9, paragraph b.

Inspected Item: Review staffing model/organizational chart.

9. Are personnel functioning as support staff in any way slotted against a Cadre Staffing position? NOTE: Answer should be “NO.”

Ref: NGYCP-CA, Section 1-9, paragraph d.

Inspected Item: Review Personnel files and staffing model.

10. Are temporary hires employed for less than six months?

Ref: NGYCP-CA, Section 1-9, paragraph c.

Inspected Item: Review personnel files.

11. Are temporary hires filling deployed military member positions employed for only the period of deployment including the military member’s leave upon return from deployment?

Inspected Item: Review personnel files.

12. Are direct hire, contract, or temporary hire personnel only used during the Acclimation Period to fill any Cadre Staff positions without slotting them against the Staffing Model in the Operations/Cadre Staff section?

Ref: NGYCP-CA, Section 1-9, paragraph d.

Inspected Item: Review Personnel files and Staffing model.

13. Are personnel filling positions performing the stated job function?

Inspected Item: Interview Staff and compare to Staffing model.

14. Has the Program Director verified that all State Youth ChalleNGe Program employees undergo a background check IAW NGB PARC Guard Knowledge Online?

NOTE: <https://gkoportal.ng.mil/ngb/STAFF/D01/D01/S02/SitePages/Home.aspx> Ref: Chief National Guard Bureau Instruction 9350.01, Enclosure A, paragraph 9.k.

Inspected Item: Review the background check results State Youth ChalleNGe Program employees.

15. Has the Program reviewed Staff information on a monthly basis as required?

Ref: NGYCP-CA, Section 1-9, paragraph f.

Inspected Item: Questions 15a-15d below.

15a. Has the Program reviewed Staff hires?

Inspected Item: Contract or HR document reflecting the four most recent hires.

15b. Has the Program reviewed Staff terminations?

Inspected Item: Contract or HR document reflecting the four most recent terminations.

15c. Has the Program reviewed position changes?

Ref: NGYCP-CA, Section 1-9, paragraph f Inspected Item: Contract or HR document reflecting the four most recent position changes.

15d. Has the Program reviewed any other pertinent information as it relates to Staff structure, for example, temporary personnel or Cadet Peer Mentors?

Inspected Item: Contract or HR document.

16. After the monthly review, is the Staff information updated in a data management system?

Inspected Item: Data management system.

17. Has the Program met State and Federal training requirements?

Ref: CP 3-1, Chapter II, paragraph 8B and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Questions 17a-17c below.

17a. Did the Program Director appoint a Program Training Coordinator?

NOTE: The Training Coordinator should be an additional duty position and should, but is not required to be, one of the certified Program Trainers.

Ref: CP 3-1, Chapter II, paragraph 8B and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Check Staff assignments and duties or assignment memorandum.

17b. Did the Program Training Coordinator create and maintain a training record for each staff member that includes copies of all completed training certificates and/or documentation of training attended?

Ref: National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Program training records.

17c. Is the required and completed training entered into the national data management system?

18. Does the Program have a minimum of two (2) Program Trainers certified to teach the Basic and Cadre courses?

Inspected Item: Review Program Trainer’s training file.

19. Has the Program Director met the National (Federal) Training requirements?

Inspected Item: Questions 19a-19b below.

19a. Did the Program Director attend the “New Directors Workshop” within the first year of assuming the Program Director position?

Inspected Item: Review Program Director’s training file.

19b. Did the Program Director attend the annual ChalleNGe Workshop?

NOTE: Director or Deputy Director may attend.

Ref: National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Review Program Director’s training file.

20. Have all ChalleNGe Staff attended the National (Federal) Training course(s) within the first six (6) months of hire, assuming a new position, or being assigned an additional duty?

NOTE: For all federal training programs released in the coming months (i.e. functional courses) programs will have three (3) months from release before being held accountable for policy timelines for inspection purposes.

Ref: National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Questions 20a-20g below.

20a. Have all Staff members whose place of employment is the Youth ChalleNGe Program completed the Basic Course?

NOTE: Staff members are required to attend the Basic Course regardless of the entity funding the position(s). Program Directors must not allow unaccompanied supervisory contact between a Staff member and Candidates/Cadets until the Staff member attends the Basic Course.

Ref: National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Training records of Cadre staff.

20b. Have Staff members assigned as Cadre completed the Cadre Course?

Inspected Item: Training records of Cadre staff.

20c. Have Staff members assigned as Counselors completed the Counselors Course?

Inspected Item: Training records of Counseling staff.

20d. Have Staff members assigned as Educators completed the Educators Course?

Inspected Item: Training records of Education staff.

20e. Have Staff members assigned as Recruiters completed the Recruiters Course?

Inspected Item: Training records of Recruiting staff.

20f. Have Staff members assigned as Post-Residential Staff completed the Post-Residential Course?

Inspected Item: Training records of Post-Residential Staff.

20g. Has the Staff member assigned as the Program Training Coordinator completed the Program Training Coordinator Course?

Inspected Item: Training record of the Program Training Coordinator.

21. Have Staff members that are in supervisory positions completed a State or Program developed Supervisor Course within six (6) months of assuming the supervisory position?

Inspected Item: Training records of Supervisory staff.

22. Have Staff members completed the initial in-house Staff training in the required timeframes?

Ref: CP 3-1, Chapter II, paragraph 8.D. and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Questions 22a-22g below.

22a. Have Staff members completed the initial Sexual Assault/Harassment Mitigation briefing prior to starting work at a NGYCP?

Inspected Item: Staff Training Roster.

22b. Have Staff members completed Conflict Resolution Training or Non-Violent Crisis Intervention Training within the first month of hire?

Ref: CP 3-1, Chapter II, paragraph 8.D. and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

22c. Have Staff members completed Mandated Reporter Training within the first month of hire?

22d. Have Staff members completed the official State Sexual Assault and Prevention Response/Harassment Training within the first three (3) months of hire?

22e. Have Staff members completed Ethics Training within the first three (3) months of hire?

22f. Have Staff members completed CPR/First Aid Training within the first six (6) months of hire?

Ref: CP 3-1, Chapter II, paragraph 8.D. and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Training certificate from issuing entity.

22g. Have Staff members completed Gang Awareness Training within the first six (6) months of hire?

Ref: CP 3-1, Chapter II, paragraph 8.D. and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

23. Have Staff members completed the annual in-house Staff training in the required timeframe?

Ref: CP 3-1, Chapter II, paragraph 8.D. and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Questions 23a-23f below.

23a. Have Staff members completed Conflict Resolution Training or Non-Violent Crisis Intervention Training annually?

Ref: CP 3-1, Chapter II, paragraph 8.D. and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

23b. Have Staff members completed Mandated Reporter Training annually?

23c. Have Staff members completed the official State Sexual Assault and Prevention Response/Harassment Training annually?

23d. Have Staff members completed Ethics Training annually?

23e. Have Staff members completed CPR/First Aid Training and/or maintained currency as required by the issuing organization?

Ref: CP 3-1, Chapter II, paragraph 8.D. and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Training certificate from issuing entity.

23f. Have Staff members completed Gang Awareness Training annually?

Ref: CP 3-1, Chapter II, paragraph 8.D. and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

24. Have volunteers and mentors completed Mandated Reporter Training within the first month of service with the NGYCP?

NOTE: The training syllabus should include the following required incidents related to children: Any abuse-sexual, physical, or emotional; Any unsafe situation; Suicide threats; and, Plans to commit a crime.

Ref: Recruiting, Placement and Mentoring Operations Manual, Mandated Reporters, Page 26 and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: A class sign-in roster that shows the class title and date of training, provided the Course Instructor signs and validates it, or training certificates.

Administrative Requirements

25. Did the Program adequately respond to the Report of Inspection?

Ref: NGYCP-CA, Section 1-2, paragraph b(5) and Section 1-3 and Report Of Inspection Memorandum from Chief, NG-J1-AY Inspected Item: Questions 25a-25d below.

25a. Was a Corrective Action Plan developed?

Ref: NGYCP-CA, Section 1-2, paragraph b(5) and Section 1-3 and Report Of Inspection Memorandum from Chief, NG-J1-AY Inspected Item: Review completed Corrective Action Plan.

25b. Was the Corrective Action Plan submitted on time?

NOTE: 30 days from receipt of ROE Memorandum from Chief, NG-J1-AY for significant findings or 60 days from receipt of ROE Memorandum from Chief, NG-J1-AY for ROE’s without significant findings.

Ref: NGYCP-CA, Section 1-2, paragraph b(5) and Section 1-3, and Report Of Inspection Memorandum from Chief, NG-J1-AY Inspected Item: Review transmittal email or mail receipt.

25c. Did the Corrective Action Plan address each area of non-compliance from the Report of Inspection with specific strategies, updated policies, detailed procedures, etc?

Ref: NGYCP-CA, Section 1-2, paragraph b(5) and Section 1-3, and Report Of Inspection Memorandum from Chief, NG-J1-AY Inspected Item: Review completed Corrective Action Plan.

25d. Did each strategy from the Corrective Action Plan resolve the issue of non-compliance?

Ref: NGYCP-CA, Section 1-2, paragraph b(5) and Section 1-3, and Report Of Inspection Memorandum from Chief, NG-J1-AY Inspected Item: Compare NO-GOs from previous inspection.

26. Did the Program fulfill the requirements of the biennial Director’s Self-Assessment?

Ref: NGYCP-CA, Section 201, paragraph d(3), CORE Program Manager Email containing the Memo from Chief, NG-J1-AY and Chief National Guard Bureau Instruction 9350.01, Enclosure A, paragraph 9.i.

Inspected Item: Questions 26a-26d below.

26a. Did the Program complete all components of the Director’s Self-Assessment?

Ref: NGYCP-CA, Section 201, paragraph d(3), CORE Program Manager Email containing the Memo from Chief, NG-J1-AY and Chief National Guard Bureau Instruction 9350.01, Enclosure A, paragraph 9.i.

Inspected Item: Review copy of Self-Assessment.

26b. Was the Program Director’s Self-Assessment submitted within the required timeframe included in the Memo from Chief, NG-J1-AY?

Ref: CORE Program Manager email containing the Memo from Chief, NG-J1-AY Inspected Item: Review transmittal email or mail receipt.

26c. Did the Director’s Self-Assessment identify all areas of non-compliance?

Ref: CORE Program Manager Email containing the Memo from Chief, NG-J1-AY

26d. Have all areas identified as non-compliant in the Director’s Self-Assessment been brought into compliance?

Ref: CORE Program Manager Email containing the Memo from Chief, NG-J1-AY

27. Did the ChalleNGe Program develop a Goal-Focused State Plan that includes long-term goals and annual performance goals against which the Program will be measured?

Ref: NGYCP-CA, Section 201, paragraph d(1) and CP 3-1, Chapter I, paragraph 5.

Inspected Item: Review State Plan for quality content and to ensure compliance.

28. Does the ChalleNGe Program’s State Plan include all required elements?

Ref: DoDI 1025.8, paragraph 6.2 and CP 3-1, Chapter I, paragraph 5.

Inspected Item: Questions 28a-28p below.

28a. Does the State Plan contain details relating to application procedures which conform to applicable NGYCP policies?

Ref: DoDI 1025.8, paragraph 6.3.1.1 and 6.3.1.2.

Inspected Item: Review State Plan to ensure application procedures conform to NGYCP policies.

28b. Does the State Plan contain details relating to selection procedures which conform to applicable NGYCP policies?

Ref: DoDI 1025.8, paragraph 6.2, CP 3-1, Chapter I, paragraph 5, and CP3-1, Chapter II, paragraph 14.A.1.

Inspected Item: Review State Plan to ensure selection procedures conform to NGYCP policies.

28c. Does the State Plan contain details relating to numbers of students trained?

Inspected Item: Review State Plan for inclusion of number of students trained.

28d. Does the State Plan contain details relating to Staffing?

Inspected Item: Review State Plan for inclusion of details relating to Staffing.

28e. Does the State Plan contain details relating to Staff training?

Inspected Item: Review State Plan for inclusion of details relating to Staff training.

28f. Does the State Plan contain details relating to curriculum?

Inspected Item: Review State Plan for inclusion of details relating to curriculum.

28g. Does the State Plan contain details relating to facilities?

Inspected Item: Review State Plan for inclusion of details relating to facilities.

28h. Does the State Plan contain details relating to State public services to be provided?

Inspected Item: Review State Plan for inclusion of details relating to State public services to be provided.

28i. Does the State Plan contain details relating to private services to be provided?

Inspected Item: Review State Plan for inclusion of details relating private services to be provided.

28j. Does the State Plan contain details relating to the Post-Residential Program?

Inspected Item: Review State Plan for inclusion of details relating to the Post-Residential Program.

28k. Does the State Plan contain details relating to establishment of non-profit organization?

Ref: DoDI 1025.8, paragraph 6.2.

Inspected Item: Review State Plan for inclusion of details relating to the establishment of a non-profit organization.

28l. Does the State Plan contain details relating to a detailed budget?

Inspected Item: Review State Plan for inclusion of details relating to a detailed budget.

28m. Does the State Plan include a master calendar which identifies the responsible department, event, and week each activity occurs? (Events include orientation, academic studies, core component activities, and mentor visits.)

Ref: CP 3-1, Chapter I, Paragraph 5.

Inspected Item: Review State Plan for inclusion of a master calendar.

28n. Is the time frame for the Initial Drug Testing contained in the Program State Plan (Drug test SOP)?

Ref: NGYCP-CA, Section 1-16, paragraph b(2).

Inspected Item: Review Drug Policy SOP within State Plan.

28o. If offsite Cadet activities are allowed to count toward the 147 minimum classes session days, are the details contained in the State Plan?

Ref: NGYCP-CA, Section 1-14, paragraph a.

Inspected Item: Review State Plan for inclusion of details relating to offsite Cadet activities.

28p. Is the Hands-Off Leadership SOP included in the State Plan?

Ref: NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 Inspected Item: Review Hands-Off Leadership SOP within State Plan.

29. Has the State Plan been updated annually?

Ref: NGYCP-CA, Section 201, paragraph d(1).

Inspected Item: Review three most recent State Plans.

30. Did the ChalleNGe Program develop SOPs for all keys areas of the Program?

Ref: CP 3-1 Chapter I, paragraph 5 and NGYCP-CA, Section 201, paragraph d(3).

Inspected Item: Questions 30a-30i below.

30a. Is the requirement that Program Directors perform a biennial operational self-assessment included in a Program SOP?

Ref: NGYCP-CA, Section 201, paragraph d(3).

Inspected Item: Review Program SOPs.

30b. Does the Program have a current SOP regarding Data Validation (recommended)?

Ref: CP 3-1, Chapter II, paragraph 5.

Inspected Item: Review Data Validation SOP.

30c. Does the Program have a current SOP regarding Logistics (recommended)?

Inspected Item: Review Logistics SOP.

30d. Does the Program have a current SOP regarding Medical (recommended)?

Inspected Item: Review Medical SOP.

30e. Does the Program have a current SOP regarding Operations (recommended)?

Inspected Item: Review Operations SOP.

30f. Does the Program have a current SOP regarding Acclimation (recommended)?

Inspected Item: Review Acclimation SOP.

30g. Does the Program have a current SOP regarding Case Management (recommended)?

Inspected Item: Review Case Management SOP.

30h. Does the Program have a current SOP regarding confidentiality of records and information, based on the guidelines listed in Standard 9 of the Recruiting, Placement and Mentoring Operations Manual?

NOTE: The SOP must contain information about how and under what conditions information will be released, and who is authorized to have access to the files.

Ref: Recruiting, Placement and Mentoring Operations Manual, Standard 9, Page 25.

Inspected Item: Review Confidential Information SOP.

30i. Does the program have a current Hands-Off Leadership SOP?

Inspected Item: Review Hands-Off Leadership SOP.

31. Has the Program Director reviewed and updated standard operating procedures biennially to align with current guidance?

Ref: Chief National Guard Bureau Instruction 9350.01, Enclosure A, paragraph 9.j.

Inspected Item: Cover memo dated and signed by the Program Director validating the required SOP has been reviewed and updated.

32. Are Serious Incident Reports (SIR) properly utilized?

Ref: NGYCP-CA, Section 1-13 and Section 1-26, paragraph b. (CP-Serious Incident Report) Inspected Item: Questions 32a-32e below.

32a. Are SIRs submitted via email to the Chief, NG-J1-AY for any occurrence of a serious nature, including bodily harm requiring professional medical treatment, police intervention for any activities, or issues that would bring media attention (i.e., riot, etc.)?

Ref: NGYCP-CA, Section 1-13 and Section 1-26 paragraph b.

Inspected Item: Review most recent SIR.

32b. Are Serious Incident Reports completed in the required format?

Inspected Item: Review most recent SIR.

32c. Did the Program Director provide the Program Office (NG-J1-AY) continuous updates as the incident develops?

Ref: NGYCP-CA, Section 1-13.

Inspected Item: Review email and supporting documents.

32d. Are deaths or critical injuries to Staff member or Cadets reported immediately to the Program Office (NG-J1-AY) with a telephonic report?

Inspected Item: Review SIRs and/or interview Staff.

32e. Are telephonic reports to the Program Office (NG-J1-AY) followed up with an email using the SIR form?

33. Is the privacy of individuals (Mentors, Cadets, families of Cadets, Staff) protected?

Ref: Recruiting, Placement and Mentoring Operations Manual, Standard 9, Page 25 Inspected Item: Questions 33a-33j below.

33a. Are confidential files kept locked at all times?

Inspected Item: Conduct physical check of confidential files.

33b. Are computers turned off/locked when not in use?

Inspected Item: Conduct physical check of computers not being used.

33c. Are offices locked when not in use?

Inspected Item: Conduct physical check of unoccupied offices.

33d. Are only authorized personnel permitted access to the confidential materials?

Inspected Item: Review SOP and interview administrative Staff.

33e. Does release of confidential materials obtained from mentors, parents and Cadets occur only as needed to those who have a need to know or are otherwise entitled to such information based on applicable law, regulation, or policy?

33f. Are records maintained according to the Program’s SOPs, which should be in compliance with state and federal laws as well as regulatory guidance?

33g. Have all staff been trained on the specifics of the Confidentiality SOP to include examples of breaches of confidentiality within the first three (3) months of hire, volunteering or agreeing to mentor a cadet, and annually thereafter?

Ref: Recruiting, Placement and Mentoring Operations Manual, Standard 9, Page 25 and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: A class sign-in roster that shows the class title and date of training, provided the Course Instructor signs and validates it, or training certificates.

33h. Have all mentors and volunteers been trained on the specifics of the Confidentiality SOP to include examples of breaches of confidentiality within the first three (3) months of hire, volunteering or agreeing to mentor a cadet, and annually thereafter?

Ref: Recruiting, Placement and Mentoring Operations Manual, Standard 9, Page 25 and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: A class sign-in roster that shows the class title and date of training, provided the Course Instructor signs and validates it, or training certificates.

33i. Has a written policy been developed and posted about how and the conditions under which information will be released?

Inspected Item: Review SOP and/or policy letter.

33j. Has a written policy been developed and posted about who is authorized to have access to the files?

Inspected Item: Review confidentiality policy SOP and/or policy letter.

34. Are Cadet hard-copy records maintained for three years, or longer if required by State law, before being properly disposed?

Ref: NGYCP-CA, Section 1-2, paragraph a(4).

Inspected Item: Review records for previous years.

35. Does the Program adhere to the NGYCP-CA Hands-Off Leadership Guidance?

Ref: NGYCP-CA, Section 1-12, NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 Inspected Item: Questions 35a-35b below.

35a. Do the Staff members comply with the proper manner to adjust a Cadet’s uniform or to touch a Cadet to teach a skill?

Ref: NGYCP-CA, Section 1-12, paragraph c, NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 Inspected Item: Interview Staff members and Cadets.

35b. Do the Staff members comply with the prohibition of using unprofessional language, including profanity, vulgarity, or off-color jokes when interacting with, correcting, or motivating Cadets?

Ref: NGYCP-CA, Section 1-12, paragraph e, NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 Inspected Item: Interview Staff members and Cadets.

36. Has the Program completed all required Hands-Off Leadership training?

Ref: NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: Questions 36a-36b below.

36a. Have staff members been trained on the Hands-Off Leadership program?

NOTE: Training is completed prior to being allowed unsupervised interaction with candidates/cadets AND receive refresher training prior to each new class cycle.

Ref: NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: A class sign-in roster that shows the class title and date of training, provided the Course Instructor signs and validates it, or training certificates.

36b. Have volunteers been trained on the Hands-Off Leadership program?

NOTE: Training is completed prior to being allowed unsupervised interaction with candidates/cadets AND receive refresher training prior to each new class cycle.

Ref: NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 and National Guard Youth ChalleNGe Program Training Policy dated 11 May 2016.

Inspected Item: A class sign-in roster that shows the class title and date of training, provided the Course Instructor signs and validates it, or training certificates.

37. Does the Hands-Off Leadership training for staff include the following requirements?

Inspected Item: Questions 37a-37e below.

37a. Does the staff training include the requirement that staff members who observe or witness any violation must immediately report the violation to their leadership?

Inspected Item: Review training syllabus.

37b. Does the staff training include the requirement that staff members who fail to report any violation to their leadership they are in violation of the policy?

37c. Does staff training include the requirement that staff will not be subjected to disciplinary action or any other form of retaliation for reporting an alleged violation?

37d. Does the staff training include the requirement that staff members will be subjected to disciplinary action up to and including dismissal from employment for any substantiated violations?

37e. Has the staff Hands-Off Leadership training been updated in a data management system?

Inspected Item: Review data management system for training dates for all staff.

38. Does the Hands-Off Leadership training for Candidates/Cadets include the following requirements?

Inspected Item: Questions 38a-38c below.

38a. Were participants trained on the Hands-Off Leadership program Day 1 of the Acclimation Period?

Inspected Item: Training Roster or sign-in sheets.

38b. Does the Candidates/Cadets training include the requirement that Candidates/Cadets who experience or witness any violation must immediately report the violation to their leadership?

38c. Does Candidates/Cadets training include the requirement that Candidates/Cadets will not be subjected to disciplinary action or any other form of retaliation for reporting an alleged violation?

39. Did the Program follow the required investigative process for all alleged Hands-Off Leadership policy violations?

Inspected Item: Questions 39a-39c below.

39a. Are all reports of alleged policy violations impartially investigated and facts gathered under the direction of the senior Staff?

Ref: NGYCP-CA, Section 1-12, paragraph f, NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 Inspected Item: Review Hands-Off Policy/SOP.

39b. Are all investigations of alleged policy violations appropriately documented and forwarded to the Program Director for action?

Ref: NGYCP-CA, Section 1-12, paragraph f, NG-J1-AY ChalleNGe Program Hands-Off Leadership Policy dated 8 May 2015 Inspected Item: Interview Program Director and examine previous investigations.

39c. Did the Program Director notify the Program Office (NG-J1-AY) of investigations regarding alleged Hands-Off Leadership violations through the submission of a Serious Incident Report?

40. Is the updated Hands-Off Leadership policy included in the staff handbook?

Inspected Item: Review Staff Handbook.

41. Is the updated Hands-Off Leadership policy included in the Cadet handbook?

Inspected Item: Review Cadet Handbook.

42. Is the Program in compliance with the DoD/NGB drug free policy for participants enrolled in the ChalleNGe Program?

Ref: NGYCP-CA, Section 1-16.

Inspected Item: Questions 42a-42i below.

42a. Has the Program prepared and published an SOP reflecting the policies and procedures of its drug Program?

Ref: NGYCP-CA, Section 1-16, paragraph k.

Inspected Item: Review Drug Policy SOP and interview Program Director.

42b. Are the Required Initial Drug Tests (Screening Tests) conducted within the first 40 days of the Residential Phase?

Ref: NGYCP-CA, Section 1-16, paragraph b(1).

42c. Did all drug testing use the Substance Abuse and Mental Health Services Administration of the U.S. Department of Health and Human Services (SAMHSA) standard for baseline screening?

Ref: NGYCP-CA, Section 1-16, paragraph a.

Inspected Item: Review Cadet records, Drug Policy SOP, and/or Medical SOP.

42d. Did all drug testing determinations comply with the SAMHSA concentration cut-off standards?

Ref: NGYCP-CA, Section 1-16, paragraph b(4).

42e. When drug testing all candidates/Cadets, does the Program use a Required Initial Drug Test that identifies the drugs and cut-off concentrations as listed in the NGYCP-CA?

Ref: NGYCP-CA, Section 1-16, paragraph c.

42f. Are all drug test results entered into a data management system?

Ref: NGYCP-CA, Section 1-16, paragraph b(5).

Inspected Item: Review data management system.

42g. Are all required Initial, For-Cause, Reasonable-Suspicion and Random drug testing products urine-based strip tests?

Ref: NGYCP-CA, Section 1-16, paragraph b(3).

42h. Have all positive required Initial Drug Tests (Screening Tests), Optional Confirmatory Drug Tests, For-Cause Drug Tests, or Reasonable-Suspicion Drug Tests resulted in immediate dismissal?

Ref: NGYCP-CA, Section 1-16, paragraph b(6).

Inspected Item: Review Drug Policy SOP, interview Program Director, and review Cadet dismissals.

42i. Have any Cadets who have tested positive for drugs due to the use of prescription drug(s) been assessed to determine if the prescription drug was the sole cause of the positive test result?

Ref: NGYCP-CA, Section 1-16, paragraph j.

43. Does the Program properly administer the optional Confirmatory Drug Test, For-Cause Drug Test, and Reasonable-Suspicion Drug Test during the Residential Phase?

Ref: NGYCP-CA, Section 1-16.

Inspected Item: Questions 43a-43c below.

43a. Does the Program comply with the optional Confirmatory Drug Test, if the initial required drug test (Screening test) is challenged?

Ref: NGYCP-CA, Section 1-16, paragraph b(6).

43b. Has the Program determined the circumstances warranting For-Cause drug testing during the entire ChalleNGe Residential Phase?

Ref: NGYCP-CA, Section 1-16, paragraph h.

43c. Has the Program tested Cadets for Reasonable-Suspicion, who have shown obvious signs of being under the influence of drugs using a testing product that meets the Initial Drug Test (Screening Test) requirements?

Ref: NGYCP-CA, Section 1-16, paragraph i.

44. Does the Program comply with the Smoke-Free workplace policy regarding the use of tobacco products?

Ref: NGYCP-CA, Section 1-17.

Inspected Item: Questions 44a-44d below.

44a. Does the Program prohibit Staff from consuming tobacco products while in the vicinity or view of Candidates/Cadets?

Ref: NGYCP-CA, Section 1-17, paragraph a(1).

Inspected Item: Interview Program Director.

44b. Are all visitors to the Program informed of the prohibition of consuming tobacco products while in the vicinity or view of Candidates/Cadets?

Ref: NGYCP-CA, Section 1-17, paragraph a(1).

44c. Does the Program prohibit the Candidates/Cadets from using any smoke or smokeless tobacco product including possession of any smoking paraphernalia?

Ref: NGYCP-CA, Section 1-17, paragraph a(2).

44d. Does the Program handle Candidates/Cadet violations through the Program’s discipline system?

Ref: NGYCP-CA, Section 1-17, paragraph a(2).

45. Has the Program collected accurate Residential Phase data IAW applicable time constraints?

Ref: NGYCP-CA, Section 1-2, paragraph a.

Inspected Item: Questions 45a-45b below.

45a. Has the Residential Phase data, including core component performance data, been updated weekly by close of business (COB) each Monday for the previous weeks’ activities (reporting periods are from 0001 hours each Monday to 2400 hours each Sunday)?

NOTE: During a Program’s on-site inspection, the management analysts will review the data management system to verify that all graduates have completed all eight Core Components. The analysts will only review the records/files of classes which have graduated.

Ref: NGYCP-CA, Section 1-2, paragraph a(1)and Section 1-23.

Inspected Item: Data management system and/or Residential Data Report for the eight Core Components. (Academic Excellence, Physical Fitness, Leadership/Followership, Responsible Citizenship, Job Skills, Service to Community, Health and Hygiene, and Life-Coping Skills)

45b. Is the data for the first report for each class entered into a data management system not later than COB on Monday following the first complete week of the Acclimation Period?

Ref: NGYCP-CA, Section 1-2, paragraph a(1).

Inspected Item: Data management system, Residential Data Report.

46. Did the Program meet all requirements prior to the early release of any Cadet(s)?

Ref: NGYCP-CA, Section 1-14, paragraph b. and Recruiting, Placement and Mentoring Operations Manual, Early Release, Page 29 Inspected Item: Questions 46a-46e below.

46a. Was the release after Residential Phase Week 18?

Ref: NGYCP-CA, Section 1-14, paragraph b. and Recruiting, Placement and Mentoring Operations Manual, Early Release, Page 29 Inspected Item: Review released Cadets’ records.

46b. Were all eight core components successfully completed?

Ref: NGYCP-CA, Section 1-14, paragraph b(1). and Recruiting, Placement and Mentoring Operations Manual, Early Release, Page 29 (1)

46c. Was the Cadet matched with a Mentor?

Ref: NGYCP-CA, Section 1-14, paragraph b(2). and Recruiting, Placement and Mentoring Operations Manual, Early Release, Page 29 (2)

46d. Was a Post-Residential Action Plan completed?

Ref: NGYCP-CA, Section 1-14, paragraph b(3). and Recruiting, Placement and Mentoring Operations Manual, Early Release, Page 29 (3)

46e. Was the Cadet released to enter a post-secondary institution of learning, begin full-time employment, enlist in the military, or return to high school?

Ref: NGYCP-CA, Section 1-14, paragraph b(4). and Recruiting, Placement and Mentoring Operations Manual, Early Release, Pages 29-30 (4)

47. Did the Program Director prepare a Memorandum for Record providing the circumstances justifying the early release and validating the conditions in Questions 46a – 46e were met?

Ref: NGYCP-CA, Section 1-14, paragraph b(5). and Recruiting, Placement and Mentoring Operations Manual, Early Release, Page 30 Inspected Item: Review released Cadets’ records, a data management system waiver.

48. Is information on Cadets participating in an early release documented in the data management information system under the Cadet’s personal information?

Ref: NGYCP-CA, Section 1-14, paragraph b(5), and Recruiting, Placement and Mentoring Operations Manual, Early Release, Page 30 Inspected Item: Review a data management system.

49. Has the Program provided Certificates of Completion to Cadets who have met the Program standards and successfully completed each core component task (or received a waiver of performance for one or more areas)?

Ref: NGYCP-CA, Section 1-24, paragraph b.

Inspected Item: Examine Certificates of Completion in Cadet files.

50. Has the Program Director granted any Waiver(s) of Performance for Cadets?

Ref: NGYCP-CA, Section 1-24, paragraph d.

Inspected Item: Examine Waivers of Performance.

51. Have all Waivers of Performance been documented in a Memorandum for Record stating the specific circumstances forming the basis for the waiver?

Ref: NGYCP-CA, Section 1-24, paragraph e.

Inspected Item: Examine Waivers of Performance Memorandums of Record.

52. At the conclusion of the Residential Phase, did the Program follow the procedures for properly dismissing Cadets who did not qualify for Certificates of Completion and were awarded Certificates of Attendance?

Ref: NGYCP-CA, Section 1-24, paragraph g; Recruiting, Placement and Mentoring Operations Manual, Standard 7, page 21.

Inspected Item: Questions 52a-52d below.

52a. Has the Program terminated all Cadets receiving a Certificate of Attendance on graduation and not included them in the graduation numbers?

Ref: NGYCP-CA, Section 1-24, paragraph i.

Inspected Item: Examine Cadet files and data management system.

52b. Has the Program documented the termination date of Cadets receiving a Certificate of Attendance in a data management system?

NOTE: The date of termination entered into the data management system will be the same as the class graduation date.

Ref: NGYCP-CA, Section 1-24, paragraph i(1).

52c. Did the Program terminate the formal mentoring relationship on the class graduation date?

NOTE: No further reporting is required for these cadets and their mentors.

Ref: Recruiting, Placement and Mentoring Operations Manual, Standard 7, page 21.

52d. Did the Program document the completion of the formal mentoring relationship not later than 30 days following the class graduation date?

Ref: Recruiting, Placement and Mentoring Operations Manual, Standard 7, page 21.

OE Compliance Checklist Effective 161001 Acclimation Period

53. Is the Program’s Acclimation Period pool of prospective Cadets sufficient to select enough qualified Cadets to equal the Program’s Cadet graduation target plus its historical attrition rate over the 22-week Residential Phase?

Ref: NGYCP-CA, Section 1-15, paragraph a(8).

Inspected Item: Examine data related to number of Cadets who applied, were accepted, enrolled, and graduated (Acclimation Predictor Tool).

NOTE:

Indicate the Program’s average Attrition Rate over the last 4 classes - ________

Total

Total Graduates ÷ Total Candidates on Day One

Graduation Target ÷ Result from Calculation 1

54. Does the Program follow the regulatory requirements for the two-week Acclimation Period?

Ref: NGYCP-CA, Section 1-15 Inspected Item: Questions 54a-54j below.

54a. Is the Acclimation Period at least 11 days long over the course of two consecutive weeks?

Ref: NGYCP-CA, Section 1-14, paragraph a. and Section 1-15 paragraph a.

Inspected Item: Examine Acclimation Period training schedule.

54b. Does the two-week Acclimation Period consist of 16-hour days?

Ref: NGYCP-CA, Section 1-15, paragraph a.(6).

54c. Is wake-up NLT 0600 hours?

Ref: NGYCP-CA, Section 1-15, paragraph a.(1).

Inspected Item: Review daily training schedule.

54d. Are lights out NLT 2200 hours?

54e. Are all sleep hours uninterrupted?

54f. Does the two-week Acclimation Period include instruction on close order drill and ceremonies?

Ref: NGYCP-CA, Section 1-15, paragraph a.(6)(a).

Inspected Item: Examine training schedule.

54g. Does the two-week Acclimation Period include instruction on military courtesy?

Ref: NGYCP-CA, Section 1-15 paragraph a.(6)(b).

54h. Does the two-week Acclimation Period include instruction on leadership/followership practicum?

Ref: NGYCP-CA, Section 1-15, paragraph a.(6)(c).

54i. Does the two-week Acclimation Period include the development/imposition of an honor code/code of conduct for use as a contract between Cadets, parents/guardians, and ChalleNGe Staff?

Ref: NGYCP-CA, Section 1-15, paragraph a.(6)(d).

Inspected Item: Examine training schedule, Cadet handbook.

54j. Does the two-week Acclimation Period include other activities that contribute to Cadets’ adjustment to the ChalleNGe Program environment?

Ref: NGYCP-CA, Section 1-15, paragraph a.(6)(e).

Inspected Item: Examine training schedule, conduct Cadet interviews, review honor code document.

55. Does the training schedule include the time, location, Cadet uniform, necessary equipment, and department lead?

Ref: CP 3-1, Chapter II, paragraph 11.

56. Are all non-sleep and weekend hours identified on the training schedule with some type of activity?

Ref: NGYCP-CA, Section 1-15, paragraph a(1) and CP 3-1, Chapter II, paragraph 11.

57. Are activities related to community and conservation projects scheduled during the Acclimation Period? NOTE: Answer should be “NO.”

Ref: NGYCP-CA, Section 1-15, paragraph a(2).

58. Is physical fitness training conducted every day during the Acclimation Period?

Ref: NGYCP-CA, Section 1-15, paragraph a(3).

Inspected Item: Examine Acclimation training schedule.

59. During the Acclimation Period, are the five required components of The President’s Challenge fitness testing program included in the daily physical fitness regimen?

Ref: NGYCP-CA, Section 1-15, paragraph a(3).

Inspected Item: Physical Fitness SOP. Examine curriculum and/or training schedule.

60. During the two-week Acclimation Period, did a team leader/assistant team leader properly assess each prospective candidate daily?

Ref: NGYCP-CA, Section 1-15, paragraph a(4).

Inspected Item: Questions 60a-60e below.

60a. Was each prospective Cadet assessed daily on his/her ability to handle stress?

Ref: NGYCP-CA, Section 1-15, paragraph a(4)(a).

Inspected Item: Examine Acclimation Period Cadet records.

60b. Was each prospective Cadet assessed daily on his/her ability to handle Program organizational structure?

Ref: NGYCP-CA, Section 1-15, paragraph a(4)(a).

60c. Was each prospective Cadet assessed daily on his/her propensity for gang activity, either as a victim or as inflictor?

Ref: NGYCP-CA, Section 1-15, paragraph a(4)(b).

60d. Was each prospective Cadet assessed daily on his/her propensity for bullying, either as a victim or as inflictor?

Ref: NGYCP-CA, Section 1-15, paragraph a(4)(b).

60e. Was each prospective Cadet assessed daily on his/her desire to succeed and complete the ChalleNGe Residential Phase?

Ref: NGYCP-CA Section 1-15 paragraph…