Presentation on theme: "Inspector Certification Course"— Presentation transcript:
1 Inspector Certification Course Office of the Inspector GeneralKansas National Guard
2 Agenda Purpose of Inspector Certification. Key Aspects of Inspections. What is an inspection?Why Do Inspections?ARPrinciples of Inspections.Categories and Types of Inspections.Root Cause Analysis & Flow Chart.Don’t Know.Can’t Comply.Won’t Comply.
3 Agenda OIP (Organizational Inspection Program). Inspectors Will… What and Why.Specifics of the OIP.BN / BDE / JFHQs Perspectives.Inspectors Will…Inspector’s Responsibilities.Findings.Out-brief.Summary.
4 PurposeTo train OIP Inspectors on the Army Inspection Policy and Inspection Principles IAW AR 1-201, Army Inspection Policy and the ARNG Organizational Inspection Program.
5 What is an Inspection?An evaluation that measures performance against a standard and should identify the cause of any deviation.All inspections start with compliance against a standard.A standard is the way things should be.S U C C E S S
6 Why do Inspections?Provide feedback to Commanders so that they can make decisions to improve the command.Proactively resolve issues that affect unit readiness and warfighting capability.Promote and reinforce good performance and best practices.Underscore leadership priorities.
7 Reference AR 1-201 (Army Inspection Policy) Outlines the Army’s Inspection Principles.Urges the Integration of Inspections.Establishes the Organizational Inspection Program (OIP).Initial Command Inspections (ICI’s) – ARNG company-level Commanders must be inspected within 180 days of taking command (para 3-3c).Subsequent Command Inspections (SCI’s) – at discretion of the BN CDR within 12 months of ICI.Requires Commanders to designate an OIP Coordinator.the commander should designate an overall OIP Coordinator such as the deputy commander, executive officer, or operations officer. The OIP Coordinator is the person within the unit or command charged with developing, coordinating, and monitoring the OIP. The OIP Coordinator normally comes from the operations staff section (S-3 / G-3) but can also be an executive officer (at the battalion and brigade level) or the IG (at the division level and higher). The OIP Coordinator does not actually lead -- or physically conduct -- the various inspection programs that comprise the OIP. Instead, the OIP Coordinator ensures the continuous execution and scheduling of these inspection programs in accordance with the guidance set forth in the written OIP. The OIP Coordinator's principle task is the development of a schedule that incorporates -- and then coordinates -- the inspections that occur within the unit or command for a given year, quarter, month, and so on.
8 Principles of Inspections Purposeful.Coordinated.Focused on Feedback.Instructive.Followed Up.
9 Principles of Inspections Purposeful.Related to Mission Accomplishment / Unit Readiness.Tailored to meet CDR’s needs while remaining relevant and responsive.Be performance oriented.Must begin with an evaluation against a recognized standard.Inspections must have a specific purpose that the commander approves. For an inspection to be purposeful, an inspection must be— (1) Related to mission accomplishment, (2) Tailored to meet the commander’s needs while remaining relevant and responsive. Inspections must provide practical and accurate feedback that allows the commander to make informed decisions in a timely manner, (3) Performance oriented and start with an evaluation against a recognized standard to identify compliance with that standard, (4) Capable of identifying and analyzing process improvement opportunities that will increase performance, support transformation, and reduce risks.
10 Principles of Inspections Coordinated.Reduce inspection redundancies across the command.Should complement other inspection activities.Minimizes last minute training distracters.Minimizes burden on subordinate units.The proper coordination of inspections precludes inspection redundancies, complements other inspection activities, and minimizes the inspection burden on subordinate organizations. Inspection planning will follow the doctrine of training management outlined in FM 7–0. Short-notice inspections must be the exception and remain at the commander’s discretion. To ensure the proper coordination of inspections, an annual review of all scheduled inspections must occur to answer the following three questions: (1) Can this inspection be canceled or combined with another inspection?; (2) Does this inspection duplicate or complement another inspection?; (3) Do inspection reports from other agencies or other echelons of command exist that can assist in the conduct of an inspection?
11 Principles of Inspections Focused on Feedback.Inspection results include:Identification of Root Causes.Identification of unit strengths and weaknesses.Issues to address in a Corrective Action Plan.Ability to share inspection results:Systemic issues across the command.Trends Analysis.Share Best Practices.Inspections are critical because they provide the commander/TAG with accurate and timely feedback and a written record of the results. Feedback may be verbal or in written form; however, a written report is the preferred method because a record of that inspection’s results will be available to others who may also benefit from the results. Inspection results can be provided at the end of an inspection or be released as the inspection progresses. Inspection results include— (1) The identification of root causes; (2) The identification of strengths and weaknesses; (3) The implementation of corrective actions; (4) The sharing of inspection results.
12 Principles of Inspections Instructive.Teach and Train - an essential element of ALL inspections.Teach and Train - the overarching purpose of SAVs.No inspection is complete if:Unit has not learned about the goal / standard.Unit hasn’t learned how to achieve the standard.Teaching and training is an essential element of all inspections and is the overarching purpose of SAVs. No inspection is complete if the units or agencies inspected have not learned about goals and standards and how to achieve them.
13 Principles of Inspections Followed Up.Conducting inspections expend valuable resources, lead to a unit Corrective Action Plan (CAP).Process is not complete unless there is a follow up inspection or a plan to ensure the unit has implemented the identified corrective actions.Inspections expend valuable resources and are not complete unless the inspecting unit or agency develops and executes a followup inspection or plan to ensure the implementation of corrective actions. Likewise, the inspected unit must develop and execute a corrective action plan that fixes those problem areas identified during an inspection and prevents recurrences of those same problems. Followup actions can include re-inspections, telephone calls (or visits) to units or proponents to check on the progress of corrective actions, or a request for a formal responsefrom a unit or proponent that attests to the completion of the corrective action. To reduce the administrative burden on inspected units, a formal response to inspection reports is optional unless specifically requested.
14 Categories & Types of Inspections CommandInspectionsStaffInspectionsGeneral / Special / Follow-UpGeneral / Special / Follow-UpIGInspectionGeneral / Special / Follow-UpAll three inspection categoriescan contain the three typesof inspections.
15 Command Inspections Scheduled, formal event. Led by the Commander. Types of Command Inspection:Initial Command Inspection (ICI).Subsequent Command Inspection (SCI).Command inspections ensure units comply with regulations and policies and allow commanders to hold leaders at all levels accountable for this compliance. In order for an inspection to be truly a ‘command’ inspection, the Commander must be actively participating. Command inspections allow the commander to determine the training, discipline, readiness, and welfare of the command and are so important that the commandermust be personally involved. In addition, command inspections help commanders identify systemic problems within their units or commands and assist in the recognition of emerging trends.
16 Command Inspections Initial Command Inspection: Required for Company-level Commands.Within 180 days for RC / 90 days for AC of taking command.IDs unit strengths & weaknesses.Must be listed on the training schedule.Comprehensive - Helps establish goals, standards and priorities.Can not be used to evaluate the commander.Results go to inspected unit commander and commander’s rater only.The incoming commander should receive a clear picture of the goals, standards, and priorities for the unit. These inspection results help set goals and may cause refinement in the DA Form 67–9–1 (Officer Evaluation Report Support Form). Commanders will not use the results ofICIs to compare units.
17 Command Inspections Subsequent Command Inspections: Scope, format, timing & frequency is determined by the Battalion Commander.Must complete within 12 months of ICI.Measures progress and reinforces goals and objectives established during the ICI.May be used to evaluate commanders.These inspections are often focused inspections that only look at specific areas and are not necessarily complete re-inspections of the entire unit. Commanders will conduct SCIs following all initial command inspections and not later than one year after completion of the new commander’s ICI. In the Army National Guard of the United States and the U.S. Army Reserve, subsequent command inspections will take place, but the timing will be at the discretion of the inspecting commander.
18 Staff Inspections & SAV’s Led by a staff member of a functional area.Focuses on a single functional area or a few related areas.Conducted by the lowest level technically qualified.Should complement Command & IG inspections.SAVs are Assistance oriented:Assist, teach & train to the standard.Can prepare unit staff for an upcoming inspection.Staff Inspections are Compliance oriented:Know the standards.Teach & train.
19 IG Inspections IG inspections are directed by TAG. IG inspections should attempt to:Pursue systemic issues.Identify substandard performance.Determine the magnitude of a deficiency.Seek the reason (root cause).Teach systems processes and procedures.Identify responsibility for corrective actions.Spread innovative ideas.Inspector general inspections focus principally on issues that are systemic in nature and that affect many units throughout the command. IG inspections examine and recommend solutions for problems that command and staff inspections cannot solve at the local level.
20 Why do units & people fail to comply with standards? “Talk about a waste of time…we don’t need to be doing that.”“With everything else on my plate, I don’t have time….”“That’s the way we’ve ALWAYS done it!!!”“Come on, that one isn’t really important; let’s just let it slide.”“Say what? What reg is that in? I’ve never heard of that!”So we know the types of inspections we may take part in – let’s look at why some people / sections / units fail to comply with clearly defined standards.“Look, I just got this job, I don’t have a clue what I’m doing!”There are as many reasons not to complyas there are people being inspected,but all reasons fall into one of three main underlying causes……
21 Root Cause Analysis NON-COMPLIANCE DON’T KNOW CAN’T COMPLY Part of the Findings processNON-COMPLIANCEAlways ask WHYAlways ask WHYDON’T KNOWCAN’T COMPLYWON’T COMPLYWhy ?Why ?Why ?Deviation from an established standard demands an examination to determine whether the deviation is the result of training deficiencies, lack of resources, misunderstood requirements, or a lack of motivation. The inspector must determine where the root cause lies in the overall functional process or organizational structure.NEVER KNEWFORGOTTASK IMPLIEDFEW RESOURCESDON’T KNOW HOWIMPOSSIBLENO REWARDNO PENALTYDISAGREERoot Cause: The underlying reason for the deviation from the standard
22 Look for written SOPs, regulations, policies, etc. Don’t Know (Why not?)Never knew – The problem may be systemic in terms of getting guidance down to the user level.Forgot – The problem is usually a local or personal issue.Task implied – The problem could result from a lack of experience or specific guidance.Look for written SOPs, regulations, policies, etc.
23 Can’t Comply (Why not?)Limited resources / low priority – Always look at big picture.Don’t know how – Possibly a lack of training.Impossible – The unit or individuals may not even be able to accomplish the task.
24 Won’t Comply (Why not?) No reward – Check for incentives. No penalty – Nobody cares.Disagree – The unit or individual may be seeking an exception to policy or a change to the rules.
25 Root Cause Flow Chart Compliance Good News STOP STOP Meets Standard? Spread it!YESNOKnows about requirement or standard?Sufficient resources?Then they CHOSE not to comply.What reward for compliance?YESYESNONOWhat penalty for non-compliance?Maybe never knew, forgot or task impliedWhat resources are they lacking?Time, money, manpower, training, equipment, facilities?The inspector should prepare ways to determine why the unit or organization failed to meet the standard. The best method is to ask open-ended questions of the individuals involved in an effort to get at the real meaning behind the non-compliance. Avoid the strict use of checklists. If some form of checklist is necessary, then include follow-on questions that ask about the reasons behind the problem. A checklist will not help an inspector determine the root cause of a problem. Examine the root causes and use them to craft an effective and meaningful solution to the problem. Avoid short-term fixes. Instead, focus on achieving long-term and far-reaching solutions to the problems.Why did they chose not to comply?STOPWrite an appropriate Root Cause and Recommendation
26 The OIP What & Why The OIP (Organizational Inspection Program) is: …a comprehensive, written planthat encompasses ALL inspections and auditsconducted within the command, both internal & external.Or simply stated: The CDRs plan to manage these events.The OIP is a comprehensive, written plan that addresses all inspections and audits conducted by the command and its subordinate elements as well as those inspections and audits scheduled by outside agencies. The purpose of the OIP is to coordinate inspections and audits into a single, cohesive program focused on command objectives.At a minimum, the OIP should:Verify the effectiveness of subordinate OIPs.Disseminate lessons learned / best practices.Protect units from being over inspected.Complement higher HQs OIP.
27 Specifics of the OIPIdentifies problems without regard to difficulty of resolution.Directs problems to the proper level for action and attention.Contains a feedback mechanism so identified problems can be tracked for resolution.The OIP must also include the command’s priorities and goals, explain the mechanism for scheduling and executing inspections, assign responsibility for scheduling and monitoring inspections, provide standards for inspectors, and discuss a way to track feedback and correctiveaction.
28 Specifics of the OIP The OIP is a Command responsibility & program. The OIP should be tailored to unit mission.The OIP complements & reinforces other evaluations.The OIP minimizes duplication of evaluations / effort.The G-3 is responsible to coordinate the overall program (OIP coordinator is in the G3).The IG is the proponent for inspection policy & provides oversight to the OIP.An effective OIP allows a commander to use these inspections to identify, prevent, or eliminate problem areas within the command. Commanders should also use the OIP to complement and reinforce other sources of evaluation information when determining or assessing readiness. The OIP provides the commander with an organized management tool to identify, prevent, or eliminate problem areas. The OIP is not merely a garrison-oriented program, but a program that applies equally to the deployed environment. The scope and nature of command, staff, and IG inspections may change, but inspections take on greater importance when the operational tempo is high and adhering to standards becomes absolutely critical.
29 (Staff Assistance Visit & Annual Reqmts) The OIP UmbrellaO I PAll three inspection categories can contain the three types of inspections.COMMANDINSPECTIONSTAFFINSPECTIONIGINSPECTIONGeneralSpecialFollow-upGeneralSpecialFollow-upGeneralSpecialFollow-up(ICIs / SCIs)(Staff Assistance Visit & Annual Reqmts)TAG Directed /Intel OversightExternal InspectionsMgmtControlsAudits
30 The Battalion OIP Perspective The Battalion is the basic building block of the OIP.The Battalion OIP normally includes Command Inspections (Initial and Subsequent) and Staff Inspections.The Battalion OIP focuses on areas that immediately impact on readiness and that reinforce goals and standards.Teaching and training is a goal of company-level Command Inspections.The battalion (or similarly sized organization) OIP includes command inspections by the battalion commander and staff inspections or SAVs by the battalion staff. The battalion commander must add visits and inspections by higher headquarters and agencies to the OIP—especially in areas where the battalion staff lacks experience or expertise. The battalion OIP forms the basic building block for inspections, and the OIP of higher commands must complement the battalion-level programs. The battalion OIP will focus on those areas that immediately impact onreadiness and reinforce goals and standards. Additionally, command inspections will articulate standards and assist in teaching, correctly, the processes at work within the battalion. Teaching, training, and mentoring will be a goal of all inspections—especially company-level initial command inspections.
31 The Brigade OIP Perspective The Brigade OIP normally includes Command Inspections, Staff Inspections, and Staff Assistance Visits.The Brigade OIP focuses on units and functional areas.The Brigade OIP should include inspections of the brigade headquarters company.The Brigade OIP must complement the battalion commanders’ programs and avoid redundancy.The brigade (or similarly sized organization) OIP includes command inspections, staff inspections, and SAVs. The brigade OIP can focus on units or functional areas, or both. At a minimum, the brigade OIP will include guidance on command inspections of the brigade headquarters and headquarters company (HHC), staff inspections, and SAVs. The OIP must be flexible and focus on one or more subordinate organizations, a part of those organizations, or a functional area over several subordinate organizations.
32 The JFHQ OIP Perspective The JFHQs OIP consists primarily of Staff and IG Inspections.At a minimum, the JFHQs OIP should:Establish a plan to check the OIP’s effectiveness (an IG role).Protect subordinate commanders from constant & repetitious inspections.Complement Brigade & Battalion OIPs.The Army National Guard of the United States OIPs will exist at all levels from battalion through state area command/regional readiness support commands. Commanders, principal staff officers, fulltime staff members, and IGs must pay particular attention to the time-distance factors and the compressed training time available in the Army National Guard of the United States when establishing inspection policies and procedures. The OIP must strive to ensure that inspections do not consume valuable training time that could be devoted to mission-essential task list efforts.The OIP at division level and above primarily involves staff inspections, SAVs, and IG inspections. The division OIP must establish guidance and a framework within which the brigade and battalions can develop their own OIPs. Command inspections at this level must include, at a minimum, command inspections of separate companies such as the division HHC. The focus of the OIP will be on the division’s ability to execute effectively plans and policy. At a minimum, the OIP must verify the effectiveness of OIPs at subordinate levels, protect subordinate commanders from being overinspected, and disseminate lessons learned throughout the command. In addition, division OIPs must address the IG’s intelligence oversight responsibilities and requirements as outlined in AR 20–1, paragraphs 1–4b (8) and 6–16 through 6–19.
33 Inspectors Will…Be technically qualified to inspect the subject matter at hand.Report to commanders or the local IG all deficiencies involving breaches of integrity, security, procurement practices, and criminality when discovered.Adhere to the Army inspection principles.Provide, when appropriate, recommendations to units.Conduct teaching and training to help correct any problem identified during an inspectionRecord inspection results.
34 Inspectors Will… Know the standard. First be right, and then proceed. Inspect to standard: tell it like it is.Teach and Train.Check your ego & personal biases at the door.Be fair, gain trust, be honest and above board.Be professional in manner.Treat everyone with respect.
35 Inspector Responsibilities Participate in inspection planning, rehearsals, coordination meetings and the In- & Out- briefs.Conduct inspections in a professional manner with a focus on “Teach and Train.”Look for trends & issues that might be command-wide, discuss them in the out-brief & report up the chain.
36 Inspector Responsibilities ID the root cause of issues & deficiencies and recommend actions to correct.Provide inspection results (findings) to inspection team chief and address in the out-brief.Notify both inspecting and inspected commanders of any “Untrained” areas found.Do NOT use the checklist as an exclusive means of determining adequacy of an area.
37 Inspection FindingsFindings accurately reflect what was found in the inspected unit or activity. A finding consists of 5 parts:Finding Statement – a concise statement of the issue.The Standard – The way it ought to be. Stated verbatim per the regulation or source, no paraphrasing.Inspection Results – What we found, exactly as we found it, discussion.Root Cause – The underlying reason for the deviation (Don’t Know, Can’t Comply, Won’t Comply).Recommendation – ID the person or activity that should fix the problem or should be commended & Why.EXAMPLE:Finding Statement: Most active-duty battalions within the division are not conducting Initial Command Inspections within 90 days of an officer assuming company command in accordance with AR(2) Standard: Army Regulation 1-201, Army Inspection Policy, outlines the requirement to conduct Initial Command Inspections within 90 days as follows:Paragraph 3-3, Command Inspections:"c. Initial Command Inspections. A new company (or similarly sized organization) commander will receive an initial command inspection (ICI) from his or her rater. The initial command inspection for a company will occur within the first 90 days of assumption of command. In the Army National Guard of the United States and the U.S. Army Reserve, the initial command inspection for new company commanders will occur within 180 days of the assumption of command."(3) Inspection Results: The Inspection Team determined that nearly all units that command companies or detachments within the division are conducting Initial Command Inspections as required by AR However, most of these units are failing to comply with the added requirement to perform these inspections within 90 days of an officer assuming command of an active-duty company or detachment. Some companies are receiving the inspections within 90 days (in one case within 45 days); however, most companies are receiving the Initial Command Inspections after 90 days but within six months. (Note: The Inspection Results portion is normally two to three paragraphs in length and should reflect why the problem is occurring. Since this example only uses the results gleaned from three units, this section contains only one brief discussion paragraph).(4) Root Cause: (Don't Know) Leaders at the battalion -- and even company -- level are unaware of the requirement to conduct Initial Command Inspections within 90-days of an officer assuming command of an active-duty company or detachment. None of the leaders interviewed or sensed within these units mentioned any time or resource constraints that kept the inspections from occurring within the prescribed time.(5) Recommendation: The IG recommends that the Division IG Office -- in close coordination with the G-3 -- host a division-wide Organizational Inspection Program (OIP) workshop as soon as possible -- and then annually thereafter -- to teach Brigade and Battalion Commanders about the Army's inspection policy and the specific requirements for Initial Command Inspections.
38 Out-Brief Present your findings and be prepared to justify with facts. Be quick to recognize unit / section “heroes” – those that have done a great job – share best practices….Ensure that unit takes “ownership” of issue and knows it must formulate a corrective action plan.If on-the-spot corrections were allowed during your inspection, let the commanders know this.
39 Out-Brief Format Inspection Goal. Inspection Intent - Include a bullet that states that the inspection was open and discreet with no surprises.Inspection Objectives.Training or Events Observed and Assessed - Quantify the numbers of individuals interviewed and sensed, the number of documents reviewed, and the number of events observed.Good News Observations - Should list no less than three positive features of the inspection and can include the names of individuals or units.The standard out-briefing will comprise two parts: The first part will offer refresher information from the in-briefing that reminds the leaders of the inspection's overall purpose, and the second part will include feedback from the inspection. The out-briefing must be fully redacted for all attribution save for the good news observations.
40 Out-Brief FormatTraining or Events Observed - Include bullets that comment upon the training or other events observed by the inspection team.Documents Reviewed - Brief comments about the results of the inspection team's analysis of the command's or unit's documents.Interviews and Sensing Sessions – Provide restated -- but relevant -- comments from anonymous individuals throughout the command.Summary Slide - Should not attempt to endorse or validate any one unit's particular program or operation; the Final Report will cover that issue.
41 Summary Inspections What & Why. Inspection Principles. Categories & Types of Inspections.Root-Cause Analysis.The Organizational Inspection Program.Inspector Responsibilities.Inspection Findings.Out-Briefing.
42 “A failure will not appear until a unit has passed final inspection.” In Closing“A failure will not appearuntil a unit has passedfinal inspection.”~Arthur Bloch, American writer,author of the Murphy's Law books