Inspector certification course
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Inspector Certification Course. Office of the Inspector General Kansas National Guard. 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.

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Inspector certification course

Inspector Certification Course

Office of the Inspector General

Kansas National Guard


Agenda

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.


Agenda1

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.


Purpose

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.


What is an inspection

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


Why do inspections

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.


Reference

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.


Principles of inspections

Principles of Inspections

  • Purposeful.

  • Coordinated.

  • Focused on Feedback.

  • Instructive.

  • Followed Up.


Principles of inspections1

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.


Principles of inspections2

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.


Principles of inspections3

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.


Principles of inspections4

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.


Principles of inspections5

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.


Categories types of inspections

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


Command inspections

Command Inspections

  • Scheduled, formal event.

  • Led by the Commander.

  • Types of Command Inspection:

    • Initial Command Inspection (ICI).

    • Subsequent Command Inspection (SCI).


Command inspections1

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.


Command inspections2

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.


Staff inspections sav s

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.


Ig inspections

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.


Why do units people fail to comply with standards

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……


Root cause analysis

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


Don t know why not

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.


Can t comply why not

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.


Won t comply why not

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.


Root cause flow chart

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


The oip what why

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.


Specifics of the oip

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.


Specifics of the oip1

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.


The oip umbrella

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


The battalion oip perspective

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 brigade oip perspective

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 jfhq oip perspective

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.


Inspectors will

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.


Inspectors will1

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.


Inspector responsibilities

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.


Inspector responsibilities1

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.


Inspection findings

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.


Out brief

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.


Out brief format

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.


Out brief format1

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.


Summary

Summary

  • Inspections What & Why.

  • Inspection Principles.

  • Categories & Types of Inspections.

  • Root-Cause Analysis.

  • The Organizational Inspection Program.

  • Inspector Responsibilities.

  • Inspection Findings.

  • Out-Briefing.


In closing

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


Questions

Questions


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