Army Regulation 1–201

Administration

Army

Inspection

Policy

Headquarters

Department of the Army

Washington, DC

17 May 1993

UNCLASSIFIED
SUMMARY of CHANGE

AR 1–201

Army Inspection Policy

This revision updates Army inspection principles and the organizational

inspection programs.
Headquarters

Department of the Army

Washington, DC

17 May 1993

Administration

Army Inspection Policy

*Army Regulation 1–201

Effective 17 June 1993

History. This UPDATE printing publishes a

r e v i s i o n o f t h i s p u b l i c a t i o n . B e c a u s e t h e

publication has been extensively revised, the

changed portions have not been highlighted.

Summary. This regulation prescribes the responsibilities and policies for the planning

and conducting of inspections in Army Organizations. It includes policies on command,

staff, and inspector general inspections, and

t h e i n t e g r a t i o n o f i n s p e c t i o n s i n t o a n o r -

ganizational inspection program. Additional

information on inspector general inspections

appears in AR 20–1.

Applicability. This regulation applies to the

Active Army, the Army National Guard and

t h e U . S . A r m y R e s e r v e . T h i s r e g u l a t i o n

remains in effect during mobilization.

P r o p o n e n t a n d e x c e p t i o n a u t h o r i t y .

The proponent of this regulation is The Inspector General under the Office of the Secretary of the Army. The Inspector General

has the authority to approve exceptions to

this regulation that are consistent with cont r o l l i n g l a w a n d r e g u l a t i o n . T h e I n s p e c t o r

General may delegate this authority, in writing, to a division chief under their supervision within the proponent agency who holds

the grade of colonel or the civilian equivalent.

A r m ym a n a g e m e n tc o n t r o lp r o c e s s .

This regulation is subject to the requirements

of AR 11–2. It does not contain internal control provsions.

Supplementation. Supplementation of this

r e g u l a t i o n a n d e s t a b l i s h m e n t o f c o m m a n d

and local forms are prohibited without prior

a p p r o v a l f r o m I N S P E C T I O N S D I V I S I O N ,

S A I G – I D , T H E I N S P E C T O R G E N E R A L ,

1700 ARMY PENTAGON, WASHINGTON,

DC 20310–1700.

Interim changes. Interim changes to this

regulation are not official unless they are authenticated by the Administrative Assistant to

the Secretary of the Army. Users will destroy

interim changes on their expiration dates unless sooner superseded or rescinded.

Suggested Improvements. Users are invited to send comments and suggested imp r o v e m e n t s o n D A F o r m 2 0 2 8

(Recommended Changes to Publications and

Blank Forms) directly to INSPECTIONS DIV I S I O N , S A I G – I D , T H E I N S P E C T O R

G E N E R A L , 1 7 0 0 A R M Y P E N T A G O N ,

WASHINGTON, DC 20310–1700.

Distribution. Distribution of this publication is made in accordance with the requirements of DA Form 12–09–E, block number

2007, intended for command level A for the

Active Army, the Army National Guard, and

the U.S. Army Reserve.

Contents (Listed by paragraph and page number)

Chapter 1

Introduction, page 1

Purpose • 1–1, page 1

References • 1–2, page 1

Explanation of abbreviations and terms • 1–3, page 1

Responsibilities • 1–4, page 1

Chapter 2

Principles of Army Inspections, page 1

Inspection overview • 2–1, page 1

Principles of Army inspections • 2–2, page 1

Chapter 3

Army Inspections, page 2

Evaluation sources • 3–1, page 2

Organizational Inspection Program • 3–2, page 2

Command inspections • 3–3, page 2

Staff inspections • 3–4, page 3

Inspector general inspections • 3–5, page 3

Appendix A. References, page 4

Figure List

Figure 3–1: Sources of evaluation information, page 2

Glossary

Index

*This publication supersedes AR 1–201, 28 June 1989.

AR 1–201 • 17 May 1993 i

UNCLASSIFIED
RESERVED

ii AR 1–201 • 17 May 1993
Chapter 1

Introduction

1–1. Purpose

This regulation outlines responsibilities and prescribes policies for

planning and conducting inspections in Army organizations.

1–2. References

Required and related publications and prescribed and referenced

forms are listed in appendix A.

1–3. Explanation of abbreviations and terms

Abbreviations and special terms used in this regulation are explained in the glossary.

1–4. Responsibilities

a. The Department of the Army Inspector General (DAIG) will—

(1) Be the Army proponent for inspection policy except those

inspections conducted pursuant to Article 6, Uniform Code of Military Justice or inspections or searches conducted in accordance with

Military Rules of Evidence 313, 314, and 315, Manual for CourtsMartial, 1984.

(2) Review and approve Department of the Army level regulatory

guidance that mandates any type of inspection. This authority to

review and approve does not extend to inspections conducted pursuant to Article 6, Uniform Code of Military Justice, or inspections

or searches conducted according to Military Rules of Evidence 313,

314, and 315, Manual for Courts-Martial, 1984.

(3) Coordinate with Army, Department of Defense (DoD), and

external inspection and audit agencies to ensure that inspections and

audits complement rather than duplicate each other.

( 4 ) C o n d u c t i n s p e c t i o n s a c c o r d i n g t o A R 2 0 - 1 a n d t h i s

regulation.

b . D e p a r t m e n t o f t h e A r m y S e c r e t a r i a t a n d A r m y S t a f f

(ARSTAF) will—

(1) Coordinate with DAIG regulatory policies that mandate the

conduct of any inspection.

(2) Annually review and forward to DAIG by 30 September, a

description of inspections for which they are proponent.

c. Commanders from battalion level and through MACOMs and

state adjutants general will—

(1) Establish inspection policy for subordinate levels of command

consistent with this regulation.

(2) Establish organizational inspection programs (OIPs) designed

to ensure that inspections complement rather than duplicate each

other and minimize disruption of training and maintenance activities. OIPs must also ensure that units have time for corrective

actions between inspections.

(3) Review inspection policies and programs annually to ensure

that the frequency, scope, and duration of inspections remain appropriate and specific inspection requirements remain valid.

d. Staff elements will—

( 1 ) M o n i t o r t h e i r f u n c t i o n a l a r e a s w i t h i n s u b o r d i n a t e

organizations.

(2) Conduct staff assistance visits as directed by the commander.

(3) Design assistance visits to complement other inspection programs without duplicating them.

e. Inspectors General (IG) will—

(1) Conduct IG Inspections according to AR 20—1 and this

regulation.

(2) Advise commanders and staff on inspection policy.

(3) Advise the commander of the effectiveness of the OIP.

f. Individuals conducting inspections will—

(1) Be familiar with the provisions of Military Rule of Evidence

313 (Manual for Courts-Martial, United States, 1984) and AR 210-

1 0 , w h i c h c o n t a i n l e g a l g u i d a n c e p e r t i n e n t t o t h e c o n d u c t o f

inspections.

(2) Report to commanders deficiencies involving breaches of integrity, security violations, procurement irregularities or criminality

when discovered. Consult with the servicing Staff Judge Advocate

on these cases.

Chapter 2

Principles of Army Inspections

2–1. Inspection overview

The Inspector General (TIG) has identified fourteen principles that

apply to all Army inspections for which TIG is the proponent. These

principles guide commanders/The Adjutants General (TAGs), staff

p r i n c i p a l s , a n d i n s p e c t o r s g e n e r a l ( I G s ) i n t h e c o n d u c t o f

inspections.

2–2. Principles of Army inspections

a. Tailored. All inspections should be tailored to meet the commander’s needs with special emphasis on being relevant and responsive. Inspections must provide practical, accurate feedback to allow

t h e c o m m a n d e r / T A G a n d h i s s t a f f t o m a k e t i m e l y , i n f o r m e d

decisions.

b. Mission oriented. Inspections, like all unit activities, should

relate to mission accomplishment.

c. Purposeful. Inspections will have a specific purpose that is

approved by the commander.

d. Coordinated. Inspections should avoid duplication and complement other inspection activities.

(1) To minimize unit disruption, inspections should be held to a

minimum and should be brief in duration. To be effective, inspections must identify strengths as well as weaknesses. When possible,

inspections will be consolidated. Inspections should be incorporated

into the training planning process described in FM 25-100. Commanders will ensure the total inspection effort is integrated, each

inspection and evaluation complementing others. Procedures must

include a periodic review of all inspection activities to ensure that

administering the OIP does not become more important than improving units.

(2) Integrating all inspection activities within a command will

reduce the inspection burden on unit commanders, ensure efficient

use of inspection resources, preclude inspection redundancies, and

focus resources on improving readiness. As an example, to preclude

unnecessary inspections apply the following:

(a) Periodically review scheduled inspections with a view toward

combining or canceling inspections.

(b) Share inspection results with all agencies having a legitimate

interest in the inspected function.

(3) An inspection by any headquarters more than one echelon

above the inspected organization should complement rather than

duplicate inspections by the organization’s immediate headquarters.

As an example, inspections capitalizing on expertise not available at

the intermediate headquarters would be appropriately conducted by

the higher headquarters.

(4) Reports from inspections by other agencies or other echelons

of command will be used to the maximum extent possible to reduce

the number and duration of inspections.

e. Officer in charge (OIC). Unity of effort is important, no

matter the makeup of the inspection team. Therefore, if inspectors

from several agencies combine their efforts into one inspection, they

should ensure that one individual is charged with coordinating their

activities.

f. Performance oriented. Every inspection of an organization or

functional area must start with an evaluation of performance against

the recognized standard to identify compliance with the standard.

Deviation below the standard should result in exploration of whether

the deviation is the result of training deficiencies, poor resource

a l l o c a t i o n s , i m p e r f e c t l y u n d e r s t o o d r e q u i r e m e n t s , o r l a c k o f

motivation.

g. Reality check. All inspectors should determine the magnitude

of problems uncovered during an inspection. To avoid wasting precious resources on inconsequential shortcomings, inspectors should

assess the severity of the problem. If the deficiency significantly

AR 1–201 • 17 May 1993 1
affects mission accomplishment, then appropriate measures should

be taken to address the problem.

h. Root causes. Inspection procedures should allow for identification of the root cause of a deviation and for determination of

where in the overall functional process or organizational structure

the root cause lies.

i. Teaching. Teaching is an essential element of all inspections

and is the major purpose of all staff assistance visits. No inspection

can be considered complete if those inspected have not been taught

the goals and standards and how to achieve them.

j. Corrective action. The ultimate purpose of all inspections is to

help commanders correct problems. While inspections alone do not

always fix deficiencies, every inspection will bring shortcomings to

the attention of those who can correct them.

k. Verbal or written report. Inspection reports (verbal or written)

form a key element in a successful inspection program. Recommendations should identify the persons or staff element responsible for

making corrective actions. Inspection results may be held until the

end of the inspection or provided as the inspection progresses. The

results may go directly to the commander or to staff and subordinate

commanders, as appropriate. When inspection deficiencies indicate

that violations of Federal Statute or public law have occurred, a

formal written response will always be required.

l . S t r e n g t h s a n d s h o r t c o m i n g s . I n s p e c t i o n s s h o u l d i d e n t i f y

strengths as well as shortcomings. Sustaining strengths is an important aspect of commanding, leading, and managing. Formally recognizing excellence helps motivate soldiers and civilians to maintain

high standards of performance.

m. Lessons learned. Inspections can provide a vehicle for widespread improvement by evaluating successful techniques and providi n g f e e d b a c k t o u n i t s b e y o n d t h o s e i n s p e c t e d . T h i s s p i r i t o f

cooperation and sharing strengthens the Army.

n. Follow-up procedures. Inspections expend valuable resources

a n d a r e n o t c o n s i d e r e d c o m p l e t e u n l e s s a f o l l o w - u p p l a n i s

developed and executed to ensure corrective action is implemented.

To reduce the administrative burden on inspected units, the requirement for a formal response to inspection reports must be carefully

considered. The anticipated benefits from such replies should clearly

exceed the effort associated with their preparation.

Chapter 3

Army Inspections

3–1. Evaluation sources

The commander/TAG relies upon many sources of information to

evaluate and assess the organization’s state of readiness. Commanders tailor inspections to meet their needs. In doing so, they have

multiple sources of information available to assess the state of

readiness of their commands. Sources of types of information that

can be evaluated are depicted at figure 3-1.

INTERNAL SOURCES

PERSONAL OBSERVATIONS

USR

EDRE

CPX/FTX

GUNNERY

LOGISTICS EVALUATIONS

INTERNAL REVIEW AUDITS

INTERNAL CONTROLS

COMMAND INSPECTIONS

STAFF INSPECTIONS

EXTERNAL SOURCES

DAIG INSPECTIONS

GAO AUDITS

IG, DoD INSPECTIONS

USAAA AUDITS

ORE

Figure 3-1. Sources of evaluation information

3–2. Organizational Inspection Program

a. Inspections are a command responsibility and the OIP is the

commander’s/TAG’s program. The OIP encompasses all inspections

conducted by the command and its subordinate elements. Inherent in

this responsibility is the obligation to coordinate all inspections and

audits into a single, cohesive program. The OIP must include those

inspections and audits conducted by the command and those scheduled by outside agencies. Commanders should use the OIP to complement and reinforce other sources of evaluation information (for

example, Army training and evaluation program (ARTEP), field

training exercise (FTX), emergency deployment readiness exercise

(EDRE), and mobilization readiness exercise (MODRE) reports).

b. The OIP provides the commander an organized management

tool to identify, prevent or eliminate problem areas. The OIP must—

(1) Be tailored to the organization’s structure and mission.

( 2 ) I d e n t i f y p r o b l e m s w i t h o u t r e g a r d t o t h e d i f f i c u l t y o f

resolution.

(3) Contain a feedback mechanism so that identified problems

can be tracked for resolution.

(4) Direct problems to the proper level for action or attention.

c. At battalion level, the OIP includes command inspections by

the battalion commander and staff assistance visits by the battalion

staff. The battalion commander may 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 and the OIP of higher commands must complement it. The battalion OIP will focus on those

areas which immediately impact on readiness and reinforce goals

and standards. Standards are articulated and teaching occurs within

the battalion. Teaching and training will be a goal of command

inspections of companies.

d. The brigade OIP normally includes command inspections and

staff assistance visits. It may focus on units, functional areas, or

both. As a minimum, the brigade OIP will include command inspections of the brigade headquarters and headquarters company (HHC).

The OIP should be flexible and may focus on one or more subordinate units, a part of those units, or a functional area over several

subordinate units. The brigade OIP must complement the battalion

commander’s programs and not burden battalions with redundant

inspections.

e. The OIP at division level and above primarily involves staff

inspections and IG inspections. Command inspections at this level

may be limited to command inspections of separate companies, such

as the division HHC. The focus of the OIP should be on the ability

to execute plans and policy. At a minimum, it should verify the

effectiveness of OIP at subordinate levels, protect subordinate commanders from being over-inspected, and disseminate lessons learned

throughout the command. The OIP should complement, not duplicate, battalion and brigade OIPs.

f. Reserve Component (RC) inspection programs should exist at

all levels from battalions through State area command (STARC)/

Major U.S. Army Reserve Command (MUSARC). Commanders,

principal staff officers, full-time staff, and IGs must pay particular

attention to the time-distance factors and the compressed training

time available in the RC when establishing inspection policies and

procedures. Every effort must be made to reduce the number of

detractors that consume valuable time that could be devoted to

mission essential task list (METL) tasks.

3–3. Command inspections

a. The commander of the inspecting headquarters must participate for an inspection to be a command inspection. At a minimum,

the commander must be present during a portion of the inspection as

a participant and must provide the inspected commander an assessment of strengths and weaknesses upon completion.

2 AR 1–201 • 17 May 1993
b. Initial command inspection is as follows:

(1) A new company commander will receive an initial command

inspection from his or her rater. The initial command inspection will

occur within 90 days of the company commander’s assumption of

command. In the Army National Guard and the U.S.Army Reserve,

the initial command inspection will occur within 180 days of the

assumption of command.

(2) The initial command inspection ensures the new company

commander understands the unit’s strengths and weaknesses in relation to higher headquarters’ goals and standards. It will appear on

the training schedule and will serve to evaluate the condition of the

unit. It will not, however, evaluate the company commander’s performance since assuming command.

(3) Only the inspected company commander receives the results

of the initial inspection. A discussion of the results will be conducted as a goal-setting session. The company commander should

receive a clear picture of the goals, standards, and priorities for the

unit. Inspection results may cause refinement in the DA Form 67-8-

1 (Officer Evaluation Support Form). Commanders will not use the

results of initial command inspections to compare units.

c. Subsequent command inspections of companies measure progress and reinforce the goals and standards established during the

initial command inspection. Commanders will determine the frequency of subsequent command inspections.

3–4. Staff inspections

a. Staff inspections are directed by the commander and will complement command and IG inspections.

b. Staff inspections are conducted at the lowest echelon technically qualified to perform staff assistance visits.

3–5. Inspector general inspections

a . A R 2 0 - 1 g o v e r n s t h e d e v e l o p m e n t a n d c o n d u c t o f I G

inspections.

b. IGs tailor inspections to meet the commander’s needs. IG

inspections may be focused on units, functional areas, or both.

c. IGs are exposed to a wider range of units than most other

inspectors and are trained to—

(1) Identify substandard performance, determine the magnitude of

the deficiency, and seek the reason (root cause) for substandard

performance or the deficiency.

(2) Pursue systemic issues.

(3) Teach systems, processes, and procedures.

(4) Identify responsibility for corrective action.

(5) Spread innovative ideas.

AR 1–201 • 17 May 1993 3
Appendix A

References

Section I

Required Publications

AR 20–1

Inspector General Activities and Procedures

Section II

Related Publications

AR 210–10

Installations—Administration

AR 623–105

Officer Evaluation Reporting System

FM 25–100

Training the Force

FM 25–101

Battle Focused Training, Battalion Level and Lower

FM 101–5

Staff Organization and Operations

Manual for Courts–Martial

United States, 1984

The Inspections Guide

US Army Inspector General Agency, Training Division

Section III

Prescribed Forms

This section contains no entries.

Section IV

Referenced Forms

DA Form 67–8–1

Officer Evaluation Support Form

4 AR 1–201 • 17 May 1993
Glossary

Section I

Abbreviations

AR

Army Regulation

ARNG

Army National Guard

ARSTAF

Department of the Army Staff

ARTEP

Army training and evaluation program

CPX

Command post exercise

DA

Department of the Army

DAIG

Department of the Army Inspector General

DoD

Department of Defense

EDRE

Emergency deployment readiness exercise

FM

Field manual

FTX

Field training exercise

GAO

Government Accounting Office

HHC

Headquarters and headquarters company

IG

Inspector general

METL

Mission essential task list

MODRE

Mobilization deployment readiness exercise

MUSARC

Major US Army Reserve Command

OIP

Organizational inspection program

ORE

Operational readiness exercise

RC

Reserve component

STARC

State area command

TAG

The Adjutant General

TIG

The Inspector General

USAAA

US Army Audit Agency

USAIGA

US Army Inspector General Agency

USAR

US Army Reserve

USR

Unit status report

Section II

Terms

Audit

The independent appraisal activity within the

Army for the reviewof financial, accounting,

and other operations, as a basis for protectiveand constructive service to command and

management at all levels.

Command inspection

An inspection of an organization conducted

by a commander in thechain of command of

the inspected activity. The commander/TAG

conducting theinspection determines the areas

of interest and the scope of inspections, aswell as the composition of any inspection

team.

Compliance inspection

An inspection designed to determine the status of an organization’sadherence to established law, regulations, policies, procedures,

anddirectives.

Follow-up

Action taken to determine whether or not deficiencies found duringa previous inspection,

staff inspection, or audit have been corrected

orcorrective actions have been implemented.

Inspection

An evaluation which measures performance

against a standard andwhich should identify

the cause of any deviation. All inspections

s t a r t w i t h c o m p l i a n c e a g a i n s t a s t a n d a r d .

Commanders tailor inspections to their needs.

Organizational inspection program (OIP)

A commander’s/TAG’s program which integrates and coordinates allinspections, staff inspections visits, and audits within a command

o r s t a t e / t e r r i t o r y N a t i o n a l G u a r d . T h e t h r e e

major purposes of the program areto reduce

disruption of training and other important act i v i t i e s , t o r e i n f o r c e e s t a b l i s h e d i n s p e c t i o n

s t a n d a r d s , a n d t o t e a c h a n d t r a i n t h o s e

founddeficient.

Staff inspection

An inspection, other than a command or IG

i n s p e c t i o n , c o n d u c t e d b y s t a f f p r i n c i p a l s o r

members responsible for the functional area

beinginspected.

Systemic inspection

An inspection designed to identify problems

or issues, determinethe root causes of problems, develop recommended solutions/ imp r o v e m e n t s , a n d f i x r e s p o n s i b i l i t y f o r t h e

solutions.

Section III

Special Abbreviations and Terms

This section contains no entries.

AR 1–201 • 17 May 1993 5
Index

This index contains no entries.

6 AR 1–201 • 17 May 1993
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