Revised: 4 October 2017

NSTC ASSIST VISIT PROGRAM (AVP)

PREPARATION GUIDE

  • Ensure each selected process has a folder/binder.
  • Ensure each folder/binder contains the following:
  • Process Flowchart.
  • Only the Primary MIC Coordinator must maintain all command MICP documentation for the past three years which consists of flowcharts, ORMs, ICSTs, Certification Statements and Online Training Certificates.
  • Process Self-Assessment Worksheet
  • Designation/AppointmentLetters, if applicable,

signedby the Commanding Officer (CO)

  • Appointment/Termination Records (DD Form 577), if applicable
  • Mandatory Training Certificates
  • Current regulations for the selected process
  • Any process stats/trends
  • Any corrective actions from previous self-assessments, CE Reviews or Assist Visits
  • Ensure the individual presenting the process has a working knowledge of the process and flowchart.
  • Ensure all documents are signed and dated.
  • GCPC/GTCC Agency Program Coordinators (APC) and Cardholders (CH), ensure all staff mandatory training documentation is ready for review.
  • Ensure documents only contain the last four digits of the SSN.
  • Ensure IG and Privacy Act/PII posters are displayed throughout your commands/activities.
  • Ensure the CO and higher echelon Policy Statements are displayed throughout your commands/activities.Policy Statements shall include EO/Diversity, Sexual Harassment, Alcohol and Drug Abuse, Hazing, Safety and Confederate Battle Flag.

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COMMON FINDINGS

GTCC Program and DTS:

  • Travel cards used while employees were not in travel status.
  • Procedures were not effectively operating to monitor and detect travel cardmisuse.
  • APC not part of the Command's In/Out-processing procedures.
  • Missing instructions or standard operating procedures.
  • Infrequent travelers not deactivated.
  • Travel orders failed to indicate exemptions.
  • Travel orders failed to state cash advance limitations.
  • Inappropriate purchases made with the travel card.
  • Government room rate not obtained, no justification or authorization.
  • Rental car authorized when not needed.
  • Government not reimbursed for convenience routing.
  • Excessive airport parking charges.
  • Double payment of registration fees.
  • Duplicate lodging payments.
  • Personnel transferred or retired, however, still on active accounts.
  • Past due accounts not handled per governing regulations.
  • APC not designated in writing.
  • Designation letter not signed by the CO.
  • Mandatory training not documented.
  • Outstanding travel vouchers.
  • Statements of Understanding not on file.
  • Reimbursement for unauthorized expenses, i.e., ratification of unauthorized commitments.
  • Cash advances in excess of authorization.

GCPC Program, Convenience Checks (ConvCks) and Educational Service Agreement (ESA) Reporting:

  • Failure to maintain the minimum two-way separation of function.
  • Outdated training records.
  • Failure to obtain prior approval for procurement of computerhardware/software and telephone equipment/services (approved ITPR).

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  • Failure to document availability of funds.
  • Failure to document screening of mandatory sources of supply.
  • Appearance of an unauthorized commitment which has not been ratified.
  • Missing file documentation, i.e., purchase request, invoices, receipt signatures etc.
  • Failure to use an automated or manuallog.
  • Full SSNs on command files.
  • Payment of sales tax
  • Failure to comply with local and NAVSUP instructions for purchase of hazardousmaterial.
  • Purchase of food and beverage items without adequate documentation orapproval.
  • Appearance of personal purchases.
  • Inappropriate use of the purchase card for vehicle repairs.
  • Failure to notify the Personal Property Manager (PPM) of pilferable, sensitive, or high valued property obtained with the GCPC, in accordance with the activity established property accountability policy.
  • Failure to follow authorized dispute procedures.
  • Purchase of questionable items.
  • Failure to obtain purchase approval.
  • Failure to rotate business among qualified suppliers.
  • Purchase of prohibited items, i.e., entertainment.
  • Approving Officials (AO) did not sign bankcard statements.
  • Split purchases.
  • Inaccurate appointment letters (outdated reference and/or payment thresholds).
  • Receipt documentation did not always annotate the following five required elements: 1) the name, 2) signature, 3) date, 4) office designator or address and 5) telephone number of the individual verifying receipt.
  • Wireless service not received through the required sources of supply (FLCSD multiple award contracts).
  • Wireless service did not include an approved ITPR.
  • Annual ConvCks Audit requirements not available for review.
  • Annual ConvCks Reporting requirements to the Internal Review Service (1099) not available for review.
  • Ordering Officer has not uploaded ESA documentation into the Electronic Document Access (EDA) system.

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Property Management Program:

  • The PPM/Responsible Officer not designated in writing.
  • Property not physically marked and entered into the NOSS.
  • Property that was listed in NOSS was unable to be located within the unit’s facility.
  • Copies of annual inventory requirements not available for review.
  • The Annual Memorandum for the Record, documenting the results of the review, not available for review.
  • Property Custody Records from NOSS not completed and available for review.

Uniforms, Curriculum, Meals Ready-to-Eat (MREs) and Tailored Operational Training Meals (TOTMs):

  • Copies of annual inventory requirements for Uniform and Curriculum not available for review.
  • The Annual Memorandum for the Record, documenting the results of the Uniform and Curriculum review, not available for review.
  • Uniform issue did not include an accountability statement and signature of recipient, to document receipt of uniform items.
  • Issuance of MREs and TOTMs did not include a log, containing the recipient’s name (printed), SSN (last four) if available, date and signature.

Urinalysis Program:

  • The required number of random drug test not conducted.
  • UPC/AUPC not appointed in writing.
  • UPC/AUPC missing training requirements.
  • UPC is also designated as the Command DAPA.
  • XO designated as UPC which creates a conflict of interest.
  • UPCnot in the designated grade E-7 or above; the program not undergoing a quarterly inspection by an Officer;and the results of the inspection not being forwarded to the CO.
  • UPC also acts as an observer when there are more than two individuals providing a sample.
  • Observers not properly trained.
  • Incomplete logs
  • No chain of custody.

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CMEO, DAPA and SAPR Collateral Duties:

  • XO designated, which creates a potential conflict of interest.
  • The Regional CMEO Manager/CMEO Manager Not of the designated grade E7 or above; not attended the mandatory NETC CMEO Manager’s Course prior to assuming duties; not completed the Navy EO Correspondence Course (NAVEDTRA 14082); and not completed the mandatory refresher training every two years.
  • The Regional CMEO Manager/CMEO Manager/Local EO POC not assessing the CMEO Program upon designation and quarterly thereafter using the CMEO Program Checklist.
  • Command has not established a Command Resilience Team (CRT) to include the minimum membership per OPNAVINST 5354.1G.
  • CRT has no documented training.
  • Process owner is dual-hatted as CMEO and DAPA, which creates a potential conflict of interest.
  • Designated process owner is a student (MECEP/MIDN).
  • Another command performs the services; however, there is no

written Memorandum of Understanding/Agreement (MOU/A) between the commands.

  • Draft MOU/As not routed through NSTC N4Support Agreement Manager (SAM), NSTC OGC and RLSO MW for a comptroller/legal review.
  • Missing mandatory annual staff and student sexual harassment (SH), grievance and hazing training requirements.
  • Mandatory NAVPERS 15600E EO/Grievance Poster not displayed.
  • DEOMI Surveys not being conducted within 90 days of change of command and annually thereafter.
  • Executive Summaries not being forwarded to the NSTC Command Climate Specialist (CCS) 30 vice 60 days after completion of the assessment.
  • Regional CMEO Manager/CMEO Manager/Local EO Point of Contact does not maintain an EO Binder, as well as a Command Continuity Binder.
  • Upon resolution of informal reports, MFTRs not being submitted to the CO annotating a brief overview of the incident, resolution and any further recommendations.
  • MIDN not included in the command assessment process.
  • Following orientation, students not completing critique sheets and properly forwarding the critiques through the chain of command.

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  • Missing CO and XO’s ADAMS for Leaders Training.
  • Staff missing Alcohol Aware Training.
  • One-on-One SAPR Brief from the SARC and the Commander’s Toolkit not completed within 30 days of the CO assuming command.

Performance Review Boards (PRB)/Disenrollments:

  • PRB templates not current with the ROD requirements.
  • Notifications prepared prior to the Appointing Letters.
  • Five-business days prior to the Boards, students not acknowledging receipt of all the PRB documents to be presented at the Board.
  • Full SSNs on the Privacy Act Statements.
  • For major offenses and any subsequent PRB chaired by an O-3 for a minor offense, the Senior Member not an O4and there is no waiver of the requirement.
  • Appointing Letter improperly annotates more than two Non-Voting Members (NVMBRs).
  • Recorder discusses, in detail, and presents PRB documents to the Board Members prior to the Board convening.
  • Senior Member not a voting member.
  • Ratio vote of the Board’s findings and recommendations not annotated in the Report, to wit:

By a vote of _ to _, the Board finds . . . and

By a vote of _ to _, the Board recommends . . .

  • The PRB Report does not include all documents considered by the Board as an enclosure.
  • Students not acknowledging receipt of the PRB Report five-businessdays after the Board and afforded five-business days to provide a written response to CO prior to the PNS signing the First Endorsement.
  • PNS did not concur or noncur with the Board’s recommendation.
  • Students not acknowledging receipt of the CO’s, First Endorsement and afforded five-business/working days to submit a rebuttal.
  • Disenrollment recommendations not being forwarded to NSTC OD4 within 30 days of the date of the PRB or the date that the student waived the right to the PRB.
  • Recommended Disenrollments not containing a recommendation for repayment: AES or recoupment.
  • Recommended Disenrollments not containing justification for “definitely not recommended”.

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  • Commands not properly maintaining complete files of official Disenrollments for two years and the current year per SECNAVINST 5210.8E.
  • Some Disenrollments missing copies of the NSTC OD/CNSTC/MCRC Endorsements, as well as the final approval and/or disapproval of ASN (M&RA).

Managers’ Internal Control Program (MICP):

  • Program not been fully established.
  • Per ASN (FM&C) ltr 5000 Ser U015 of 14 Mar 13, Primary and Alternate MIC Coordinators not designated, in writing.
  • For each process listed on the Inventory of Assessable Units (IAU), no corresponding flowcharts,

Internal Control System Tests (ICST) nor Operational Risk Management (ORM) Assessments.

  • CO signed an annual MIC Certification Statement; however no MICP documentation available for review.
  • Incorrect format on Certification Statements.
  • NSTC Domain Strategic Goal not linked to the program/process.
  • MICP Coordinator not retaining,in-house for three years, the command’s MICP documentation for turnover and inspection purposes.
  • Flowcharts updated but key metrics not annotated.
  • Flowcharts do not contain the correct headings.
  • Flowcharts do not annotate revised or reviewed date.
  • Flowcharts do not annotate the applicable governing regulation for the process/program.
  • 2-3 key metrics updated on flowchart but not on ICST.
  • Privacy Act info on ICST and ORM Assessment do not match.
  • ORM Assessments do not annotate “administrative”, as well as safety hazards, vulnerabilities,PII, or high risks associated with each process.
  • MICP documentation not signed.
  • One sentence accomplishments lack quantifiable results.
  • No record of mandatory Online MICP Courses OASN-MCPT-1.3 for the MIC Coordinators and OASN-MCPTM-1-3, for Managers (CO, XO and each process owner).

Command Evaluation (CE) Program:

  • Program not established or dormant since last AV.
  • NETCINST 5000.1Aguidance not adhered to.

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  • CE Officer not designated, in writing.
  • CE Officer not of the designated grade E7/GS-9 or above.
  • Other Evaluators perform the reviews, however a CE Team has not been established nor designated, in writing.
  • CE Members improperly conductreviews on their own processes.
  • CE Guides/Checklists not established for each review.
  • CE Reports not numbered and linked to working papers.
  • CE Reports do not accurately address the conditions noted.
  • Management responses to recommendations not signed and dated.
  • Recommendations and follow-up actions not being tracked.

Instructor Requirements:

  • Both, the PNS and XO not personally observing and evaluating Naval Science classes at least once per term.
  • Instructor evaluations lack written documentation.
  • Advisors not conducting counseling with students.
  • The testing process not reviewed and assessed to ensure test material is updated.
  • There is no clear-cut guidelines for security of the tests and other sensitive instructional material, in place.

Physical Readiness Program/Command Fitness/Fitness Enhancement:

  • Semi-annual PFAs not being conducted.
  • Unqualified swimmers.
  • CFL/ACFL not qualified per OPNAVINST.
  • CFL does not have access to PRIMS to properly manage PFA data; and within 30 days of the command’s PFA cycle, the CFL does not enter the PFA scores into PRIMS.
  • No method in place to execute and track remedial swim training.
  • Staff and Student PRIMS documentation not available for review.
  • Individual Members not reviewing and verifying accuracy of the PFA data in PRIMS within 60 days of the PFA cycle.
  • CFL not maintaining, for five years, all original written documents (notes, worksheets, etc.) of official command PFAs.
  • Staffnot conducting mandatory PT three times a week.
  • Fitness Enhancement Program (FEP) not conducted per OPNAVINST 6100.1J guidance.

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Student Performance Files:

  • Fitness Report and Counseling Records missing data and not signed/dated by both the student and advisor.
  • Student File Information Data (OPMIS): The most current information not being entered, signed by the MIDN, nor placed on file.
  • Record of MIDN counseling not occurring at a minimum of twice per semester; counseling records not signed by the students; nor are records kept on file.
  • Academic Planning Schedules not being reviewed with the MIDN at the beginning of each schedule, signed nor dated.

Student Administrative Files:

  • Missing Record of Emergency Data.
  • Missing Certified to be True Copy Birth Certificate.
  • Annual reviews not being conducted in a timely manner.

Student Medical and Dental Records:

  • Records not annually reviewed and documented.
  • Some Privacy Act Statements not signed.
  • Some records missing DoD Medical Examination Review Board (DoDMERB) Report of Medical Examination

(DD Form 2351) and DoDMERB Report of Medical History

(DD Form 2492).

EFFECTIVE 15 DECEMBER 2016

2017 ASSIST VISIT RATING CRITERIA

Number of RecommendationsOverall Score

0-2 Outstanding

3-5Excellent

6-8Good

9-11Satisfactory

12+ Unsatisfactory*

*Unsatisfactory scores may require a re-visit by the Inspection Team within six months.

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NROTCU ASSESSABLE UNITS REQUIRING APPOINTMENT/DESIGNATION

Assessable UnitType of Letter or Form

PRBAppointment Letter for each Board

and Collateral Duty Assignments/

Boards

CE ProgramAppointment/Designation Letters and Collateral Duty Assignments/Boards

MICPAppointment/Designation Letters and Collateral Duty Assignments

Armory/Weapons/Small Arms TrainingCollateral Duty Assignments

Student Performance FilesCollateral Duty Assignments

Student Administrative FilesCollateral Duty Assignments

Student Medical and Dental RecordsCollateral Duty Assignments

Physical Readiness ProgramAppointment/Designation Letters and

Collateral Duty Assignments

Urinalysis Program Appointment/Designation Letters and

Collateral Duty Assignments

DAPA ProgramAppointment/Designation Letter and

Collateral Duty Assignments

NSOCollateral Duty Assignments

Instructor RequirementsCollateral Duty Assignments

Website ManagementCollateral Duty Assignments

Naval Science Course MaterialsCollateral Duty Assignments

Non-Appropriate Funds – MWRCollateral Duty Assignments

Cross-Enrollment AgreementsCollateral Duty Assignments

CMEO Program Appointment/Designation Letter and

Collateral Duty Assignments/Boards

GMTAppointment/Designation Letter and Collateral Duty Assignments/Boards

Property Management ProgramAppointment/Designation Letter and Collateral Duty Assignments

Privacy Act/PII ProgramAppointment/Designation Letter and Collateral Duty Assignments

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Assessable UnitType of Letter or Form

Budget Formulation and Execution (OMN)SF1402and Collateral Duty Assignments

Budget Formulation and Execution (MPN)SF 1402and Collateral Duty Assignments

GCPC/ConvCks/ESA ReportingAppointment/Designation Letters, DD Form 577 and Collateral Duty Assignments

GTCC ProgramDD Form 577and Collateral Duty Assignments

DTSDD Form 577and Collateral Duty Assignments

Uniforms, Curriculum, MREs and TOTMs Appointment/Designation Letter and Collateral Duty Assignments

Civilian Time and Attendance ProgramCollateral DutyAssignments

Vehicles Management ProgramCollateral Duty Assignments

Personnel Security ProgramAppointment/Designation Letter and Collateral Duty Assignments

Physical Security ProgramAppointment/Designation Letter and Collateral Duty Assignments

Student ID CardsCollateral Duty Assignments

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