Inspector Certification Course

1. Inspector Certification Course Office of the Inspector General Kansas National Guard

2. 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. 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. 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. 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.

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.

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.

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.

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.

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.

14. Categories & Types of Inspections Staff Inspections Command Inspections General / Special / Follow-Up General / Special / Follow-Up IG Inspection All three inspection categories can contain the three types of inspections. General / Special / Follow-Up

15. Command Inspections • Scheduled, formal event. • Led by the Commander. • Types of Command Inspection: • Initial Command Inspection (ICI). • Subsequent Command Inspection (SCI).

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.

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.

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.

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!” “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……

21. Root Cause Analysis Part of the Findings process NON-COMPLIANCE Always ask WHY Always ask WHY DON’T KNOW CAN’T COMPLY WON’T COMPLY Why ? Why ? Why ? • NEVER KNEW • FORGOT • TASK IMPLIED • FEW RESOURCES • DON’T KNOW HOW • IMPOSSIBLE • NO REWARD • NO PENALTY • DISAGREE Root Cause: The underlying reason for the deviation from the standard

22. 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 STOP Compliance Meets Standard? Good News Spread it! YES NO Knows about requirement or standard? Sufficient resources? Then they CHOSE not to comply. What reward for compliance? YES YES NO NO What penalty for non-compliance? Maybe never knew, forgot or task implied What resources are they lacking? Time, money, manpower, training, equipment, facilities? Why did they chose not to comply? STOP Write an appropriate Root Cause and Recommendation

26. The OIPWhat & Why • 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. 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.

27. 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. 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. The OIP Umbrella O I P All three inspection categories can contain the three types of inspections. COMMAND INSPECTION IG INSPECTION STAFF INSPECTION General Special Follow-up General Special Follow-up General Special Follow-up (Staff Assistance Visit & Annual Reqmts) TAG Directed / Intel Oversight (ICIs / SCIs) External Inspections Mgmt Controls Audits

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.

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.

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.

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 inspection • Record 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 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. 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.

40. 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. Summary • Inspections What & Why. • Inspection Principles. • Categories & Types of Inspections. • Root-Cause Analysis. • The Organizational Inspection Program. • Inspector Responsibilities. • Inspection Findings. • Out-Briefing.

42. 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

43. Questions