Presentation on theme: "1 UNCLASSIFIED Inspector Certification Course Office of the Inspector General Kansas National Guard."— Presentation transcript:
1 UNCLASSIFIED Inspector Certification Course Office of the Inspector General Kansas National Guard
2 UNCLASSIFIED Inspectors Certification Agenda Purpose of Inspector Certification. Key Aspects of Inspections. – What is an inspection? – Why Do Inspections? – AR 1-201. – Principles of Inspections. Categories and Types of Inspections. Root Cause Analysis & Flow Chart. – Don’t Know. – Can’t Comply. – Won’t Comply.
3 UNCLASSIFIED Inspectors Certification Agenda OIP (Organizational Inspection Program). – What and Why. – Specifics of the OIP. – BN / BDE / JFHQs Perspectives. Inspectors Will… Inspector’s Responsibilities. Findings. Out-brief. Summary.
4 UNCLASSIFIED Inspectors Certification Purpose To 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 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification 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.
8 UNCLASSIFIED Inspectors Certification Principles of Inspections Purposeful. Coordinated. Focused on Feedback. Instructive. Followed Up.
9 UNCLASSIFIED Inspectors Certification 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.
10 UNCLASSIFIED Inspectors Certification 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.
11 UNCLASSIFIED Inspectors Certification 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.
12 UNCLASSIFIED Inspectors Certification 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.
13 UNCLASSIFIED Inspectors Certification 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.
14 UNCLASSIFIED Inspectors Certification Categories & Types of Inspections C OMMAND I NSPECTIONS S TAFF I NSPECTIONS IG I NSPECTION General / Special / Follow-Up All three inspection categories can contain the three types of inspections. All three inspection categories can contain the three types of inspections.
15 UNCLASSIFIED Inspectors Certification Command Inspections Scheduled, formal event. Led by the Commander. Types of Command Inspection: – Initial Command Inspection (ICI). – Subsequent Command Inspection (SCI).
16 UNCLASSIFIED Inspectors Certification 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.
17 UNCLASSIFIED Inspectors Certification 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.
18 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification 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.
20 UNCLASSIFIED Inspectors Certification Why do units & people fail to comply with standards? “That’s the way we’ve ALWAYS done it!!!” “With everything else on my plate, I don’t have time….” “Talk about a waste of time…we don’t need to be doing that.” “Say what? What reg is that in? I’ve never heard of that!” “Come on, that one isn’t really important; let’s just let it slide.” “Look, I just got this job, I don’t have a clue what I’m doing!” There are as many reasons not to comply as there are people being inspected, but all reasons fall into one of three main underlying causes…… There are as many reasons not to comply as there are people being inspected, but all reasons fall into one of three main underlying causes……
21 UNCLASSIFIED Inspectors Certification Root Cause Analysis Root Cause: The underlying reason for the deviation from the standard NON-COMPLIANCE DON’T KNOWCAN’T COMPLYWON’T COMPLY NEVER KNEW FORGOT TASK IMPLIED FEW RESOURCES DON’T KNOW HOW IMPOSSIBLE NO REWARD NO PENALTY DISAGREE Always ask WHY Why ? Always ask WHY Part of the Findings processPart of the Findings process
22 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification Root Cause Flow Chart Compliance Meets Standard? Good News Spread it! Knows about requirement or standard? Sufficient resources? Then they CHOSE not to comply. What reward for compliance? Maybe never knew, forgot or task implied What resources are they lacking? Time, money, manpower, training, equipment, facilities? What penalty for non-compliance? Write an appropriate Root Cause and Recommendation Why did they chose not to comply? YES NO STOP
26 UNCLASSIFIED Inspectors Certification The OIP What & Why The OIP (Organizational Inspection Program) is: …a comprehensive, written plan that encompasses ALL inspections and audits conducted within the command, both internal & external. Or simply stated: The CDRs plan to manage these events. 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 UNCLASSIFIED Inspectors Certification Specifics of the OIP Identifies 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.
28 UNCLASSIFIED Inspectors Certification 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.
29 UNCLASSIFIED Inspectors Certification The OIP Umbrella COMMANDINSPECTION STAFFINSPECTION IGINSPECTION O I P General Special Follow-up All three inspection categories can contain the three types of inspections. Audits Mgmt Controls (ICIs / SCIs) (Staff Assistance Visit & Annual Reqmts) TAG Directed / Intel Oversight External Inspections General Special Follow-up General Special Follow-up
30 UNCLASSIFIED Inspectors Certification The Battalion OIP Perspective The Battalion is the basic building block of the OIP. 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.
31 UNCLASSIFIED Inspectors Certification 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.
32 UNCLASSIFIED Inspectors Certification 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.
33 UNCLASSIFIED Inspectors Certification 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 inspection Record inspection results.
34 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification Inspection Findings Findings 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.
38 UNCLASSIFIED Inspectors Certification 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 UNCLASSIFIED Inspectors Certification 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.
40 UNCLASSIFIED Inspectors Certification Out-Brief Format Training 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 UNCLASSIFIED Inspectors Certification Summary Inspections What & Why. Inspection Principles. Categories & Types of Inspections. Root-Cause Analysis. The Organizational Inspection Program. Inspector Responsibilities. Inspection Findings. Out-Briefing.
42 UNCLASSIFIED Inspectors Certification In Closing “A failure will not appear until a unit has passed final inspection.” ~Arthur Bloch, American writer, author of the Murphy's Law books