COMNAVRESINTCOMINST 5040

COMNAVRESINTCOMINST 5040.1H

00C

11 April 1997

COMNAVRESINTCOM INSTRUCTION 5040.1H

Subj: NAVAL RESERVE INTELLIGENCE COMMAND INSPECTION PROGRAM

Ref: (a) OPNAVINST 5040.7K

(b) COMNAVRESFORINST 5040.6D

(d) SECNAVINST 3820.3D

(e) COMNAVRESINTCOMINST 3820.1K

(f) COMNAVRESINTCOMINST 5450.1E

(g) OPNAVNOTE 5040 of 13 Feb 96

(h) COMNAVRESFORNOTE 5040 of 31 Aug 95

Encl: (1) Sample RIAC/RIA Grade Assignment

(2) Sample RIAC/RIA Command Inspection Report with Enclosure

(3) Sample 18-Month Intelligence Oversight Inspection Report on RIAC

(4) Sample 18-Month Intelligence Oversight Inspection Report on Unit

(5) Sample Unit Intelligence Oversight Certification to RIAC

(6) Sample Unit Special Interest Item Certification to RIAC

1. Purpose. To establish objectives, policies, and procedures for Naval Reserve Intelligence Command (NAVRESINTCOM) command inspections conducted by the Commander, Naval Reserve Intelligence Command (COMNAVRESINTCOM).

2. Cancellation. COMNAVRESINTCOMINST 5040.1G and COMNAVRESINTCOMINST 5040.2. The following reports are canceled: Command Inspection Results and Command Inspection Corrective Actions.

3. Background. Reference (a) establishes the objectives and policies of the Naval Command Inspection Program. References (b) and (c) establish the objectives, policies, and procedures of the Commander, Naval Reserve Force and Commander, Naval Air Reserve Force command inspection programs, delegating the responsibility for the command inspection program of the NAVRESINTCOM to COMNAVRESINTCOM.

4. Objectives. The objectives of the NAVRESINTCOM command inspection program are to evaluate the command effectiveness of inspected activities in mission performance; identify and determine the effects of any management or resource deficiencies on mission accomplishment and recommend appropriate action to correct deficiencies; ensure compliance with items of special interest and intelligence oversight policies.

5. Policy.

a. The purpose of the NAVRESINTCOM command inspection program is to assess Reserve Intelligence Area Commander (RIAC)/Reserve Intelligence Area (RIA) and unit command effectiveness in mission performance. Unnecessary administrative procedures should be identified. Inspections are intended to provide maximum opportunity for the exchange of ideas and a review of NAVRESINTCOM objectives, policies and procedures, and new developments.

b. Emphasis will be placed on providing assistance and discussing areas in need of improvement. Inspections will be conducted with the least possible disruption to normal operations, consistent with achievement of inspection objectives. The assistance aspect of the inspection program will concentrate on the processes which lead to mission accomplishment with a focus on process improvement. The inspection team, as the Commander's representative, will evaluate these processes as well as encourage continuous improvement in them. Personnel and zone inspections will not be conducted.

6. Procedures.

a. Scheduling of Inspections.

(1) COMNAVRESINTCOM will schedule and conduct a triennial command inspection, including intelligence oversight, of each RIAC/RIA and assigned units once every three years, as required by references (b) and (d). Inspections will be conducted by the NAVRESINTCOM Deputy Commander, as Senior Inspector, accompanied by the Commander and such other personnel as may be designated by the Commander. Following a triennial command inspection, an 18-Month Intelligence Oversight Inspection on each RIAC/RIA will be conducted by NAVRESINTCOM as required by reference (d). The inspection schedule for COMNAVRESINTCOM will be promulgated to RIACs by 15 July for the following fiscal year in a COMNAVRESINTCOM Notice 5041.

(2) RIACs will schedule and conduct 18-Month Intelligence Oversight Inspections on assigned units as required by reference (d). 18-Month Intelligence Oversight Inspections will be conducted by the RIA Senior Inspector accompanied by the RIAC, or a designated representative, and such other personnel as may be designated by the RIAC. RIACs may conduct management assist visits or informal personal visits as necessary or desirable to conduct the normal business of the NAVRESINTCOM or to provide administrative support or training assistance. The Command Inspection schedule for the RIA will be promulgated to COMNAVRESINTCOM by 15 July for the following fiscal year in a RIA Notice 5041.

b. Pre-inspection Preparations.

(1) Administrative Arrangements. Administrative arrangements for an inspection of a RIAC/RIA and its assigned units (time and place, transportation, schedule, billeting, uniform,

etc.) shall be made in advance through liaison with COMNAVRESINTCOM Deputy Commander. RIACs will collect an intelligence oversight and special interest item certification from each assigned unit prepared in the format specified in enclosures (5) and (6).

(2) Inspection Events Schedule. A proposed schedule of inspection events will be submitted at least 30 days in advance by the inspected organization to the Senior Inspector. The final schedule will be as approved by that officer.

(3) Gaining Command Comments. At least 60 days prior to the RIAC/RIA inspection, COMNAVRESINTCOM will solicit, by letter, gaining commands' assessment of its units' contributory support as well as any recommended actions which will facilitate or enhance this support.

c. Scope of Inspections. The Senior Inspector will assign responsibilities to members of the inspecting party, ensuring that adequate attention is given to functional areas as described in reference (f). Inspectors will address the following aspects of operation:

(1) Compliance with requirements and policies as established by current COMNAVRESINTCOM and higher-echelon directives. Attention will be given to the requirements governing oversight of intelligence activities as promulgated in reference (d) and (e) and to the designated items of special interest as required by references (g) and (h).

(2) Actions taken by the inspected organization to further NAVRESINTCOM objectives.

(3) Noteworthy local initiatives, objectives, and programs.

7. Grading. Per references (a), (b), and (c) inspection evaluations shall be limited to Satisfactory or Unsatisfactory. In the case of an Unsatisfactory overall grade, a reinspection will be scheduled at the earliest possible time that will allow time for correction of discrepancies.

8. Action. RIACs and Commanding Officers of NAVRESINTCOM units shall prepare for inspections in accordance with the provisions of this instruction, and complete all listed actions:

a. COMNAVRESINTCOM inspection reports on RIACs/RIAs will be prepared in the format of enclosures (1) and (2). The COMNAVRESINTCOM Senior Inspector will forward reports to the Commander within 30 days of the date of the inspection. The Commander will assign a final overall grade and notify the RIAC within 45 days of the date of the inspection.

b. At the inception of a triennial command inspection, RIACs will provide to the NAVRESINTCOM Senior Inspector an intelligence oversight certification and a special interest item certification collected from each assigned unit and prepared in the format specified in enclosures (5) and (6).

c. COMNAVRESINTCOM and RIAC 18-Month Intelligence Oversight Inspection Reports will be prepared in the format of enclosure (3) or (4). The RIAC shall forward 18-Month Intelligence Oversight Inspection reports to unit Commanding Officers with a copy to COMNAVRESINTCOM within 30 days of the date of the inspection.

d. In the case of inspections resulting in a Satisfactory overall grade, the RIAC/RIA will forward a report of action taken in response to discrepancies to COMNAVRESINTCOM within 60 days following receipt of the inspection report. Each discrepancy commented upon should be numbered with the same number used in the inspection report for ease in follow-up tracking. Should recommended actions require additional time, the initial report will indicate the date of expected completion. Follow-up reports are required at quarterly intervals until all discrepancies are complete. (Reports from units required by the RIAC, if any, will not be forwarded to COMNAVRESINTCOM).

e. As required by references (a) and (b), the restrictive caveat of enclosure (1) shall be included in all reports of inspection.

9. Reports. Command Inspection Schedule (paragraph 6a(2)) and 18-Month Intelligence Oversight Inspection Report (paragraph 8c) are exempt from reports control by SECNAVINST 5214.2B and requires no symbol.

B. V. MORTON

Deputy

Distribution: (refer to COMNAVRESINTCOMINST 5216.1K)

Lists I through IV

SAMPLE RIAC/RIA GRADE ASSIGNMENT FORMAT

5040

Ser 00A/xxx

ddmmyy

From: Commander, Naval Reserve Intelligence Command

To: Reserve Intelligence Area Commander, RIA XX

Subj: COMMAND INSPECTION OF RIA XX

Ref: (a) COMNAVRESINTCOM Senior Inspector ltr 5040 Ser 00A/xxx of ddmmyy

1. Upon review of the findings and recommendations set forth in reference (a), an overall grade of (Satisfactory/Unsatisfactory) is assigned.

2. [If Satisfactory] Within 60 days of receipt of reference (a), RIAC RIA XX will forward to COMNAVRESINTCOM comments concerning action taken to correct unsatisfactory areas and to address those satisfactory areas where recommendations are included. A status report will be forwarded quarterly thereafter until action is completed.

2. [If Unsatisfactory] A reinspection of RIA XX is scheduled for ddmmyy. Only those functional areas indicated as unsatisfactory in reference (a) will be reinspected.

//Signed//

Copy to:

COMNAVAIRESFOR (N2)

SAMPLE COMMAND INSPECTION REPORT

COMNAVRESINTCOM ON RIAC/RIA

5040

Ser 00A/

ddmmyy

From: Senior Inspector, Naval Reserve Intelligence Command

To: Commander, Naval Reserve Intelligence Command

Subj: COMMAND INSPECTION OF RESERVE INTELLIGENCE AREA XX

Ref: (a) OPNAVINST 5040.7K

(b) COMNAVRESFORINST 5040.6D

(d) COMNAVRESINTCOMNOTE 5041 of 25 Jul 96

(e) OPNAVNOTE 5040 of 13 Feb 96

(f) COMNAVRESFORNOTE 5040 of 31 Aug 95

(g) COMNAVRESINTCOMINST 3820.1K

Encl: (1) Command Inspection Report of RIAC/RIA XX

1. Background. Per reference (a), a command inspection of Reserve Intelligence Area Commander (RIAC)/Reserve Intelligence Area (RIA) XX and units was conducted on ddmmyy. Enclosure (1) provides specific details of the inspection.

2. Scope of Inspection.

a. The effectiveness and overall readiness of RIAC/RIA XX and assigned units with respect to mission accomplishment and progress toward NAVRESINTCOM objectives was reviewed and evaluated. Command effectiveness in all functional areas, as well as the adequacy and use of assigned resources, was examined. The degree of compliance with applicable directives was evaluated and deficiencies identified for correction.

b. Applicable SECNAV/CNO and COMNAVRESFOR items of special interest, identified in references (e) and (f), were reviewed for compliance.

c. The Senior Inspector reserved time for personal consultations. The RIAC provided advance notice to all personnel. There were no/number requests for consultation.

3. Overall Evaluation. RIAC/RIA XX and assigned units are organized and operating within the guidelines of current directives. Based on the evaluation contained in enclosure (1), an overall inspection grade of (Satisfactory/Unsatisfactory) is recommended.

4. Special Interest Items. SECNAV/CNO and COMNAVRESFOR items of special interest were reviewed. Comments and recommendations are contained in the attached certifications.

5. Intelligence Oversight. Personnel have complied with all intelligence oversight requirements. Personnel understand the basic principles of the intelligence oversight regulation and have been briefed with respect to intelligence oversight in accordance with reference (g). The Inspector found no evidence of intelligence oversight violations. Comments and recommendations are contained in the attached certifications.

6. Unsatisfactory Areas and Required Corrective Actions. There were no/number unsatisfactory areas. Comments and recommendations are contained in enclosure (1).

7. Caveat. The information contained herein relates to internal practices of the Department of the Navy and is an internal communication within the inspecting command. This report of Commander, Naval Reserve Intelligence Command is not releasable, nor may its contents be disclosed outside of original distribution, nor may it be reproduced in whole or in part (except for limited internal use within the inspected command), without prior written approval of the Commander, Naval Reserve Intelligence Command. Under reference (a), requests for this report, portions thereof, or correspondence related thereto, from a source external to the Department of the Navy shall be promptly referred to Commander, Naval Reserve Intelligence Command, who shall further refer the request with recommended action thereon to the Naval Inspector General for Navy Department coordination and clearance. Holders of this report shall strictly observe this caveat.

//Signed//

Copy to: Sample

RIAC, RIA XX

SAMPLE COMMAND INSPECTION REPORT FUNCTIONAL AREA ENCLOSURE

COMNAVRESINTCOM ON RIAC/RIA

COMNAVRESINTCOM Command Inspection Report

Organization: RIA XX

Area: (Specify)

Grade: Satisfactory/Unsatisfactory

Reference: (None or specify)

General Comments: (None or specify)

Discrepancies: (None or specify)

Recommendations: (None or specify)

XX-FY

SAMPLE 18-MONTH INTELLIGENCE OVERSIGHT INSPECTION REPORT

COMNAVRESINTCOM ON RIAC/RIA

5040

Ser 00C/xxx

ddmmyy

From: Commander, Naval Reserve Intelligence Command

To: Reserve Intelligence Area Commander, RIA XX

Subj: REPORT OF 18-MONTH INTELLIGENCE OVERSIGHT INSPECTION OF RESERVE INTELLIGENCE AREA XX

Ref: (a) COMNAVRESINTCOMINST 5040.1H

(b) SECNAVINST 3820.3D

1. Background. Pursuant to reference (a), (b), and (c), an 18-Month Intelligence Oversight Inspection of Naval Reserve Intelligence Command RIA XX was conducted on ddmmyy.

2. Scope of Inspection. The Inspector reviewed compliance with intelligence oversight requirements as addressed in references (b) and (c).

3. Overall Evaluation. The overall inspection grade is Satisfactory.

4. Satisfactory Areas with Recommendations for Improvement. Reserve Intelligence Area XX has complied with all intelligence oversight requirements. Personnel understand the basic principles of the intelligence oversight regulation and have been briefed with respect to intelligence oversight in accordance with reference (c). The Inspector found no evidence of intelligence oversight violations.

5. Unsatisfactory Areas and Required Corrective Action. None.

6. Conclusions and Other Comments. None.

Subj: REPORT OF 18-MONTH INTELLIGENCE OVERSIGHT INSPECTION OF RESERVE INTELLIGENCE AREA XX

7. Caveat. The information contained herein relates to internal practices of the Department of the Navy and is an internal communication within the inspecting command. This report of Commander, Naval Reserve Intelligence Command is not releasable, nor may its contents be disclosed outside of original distribution without prior written approval of the Commander, Naval Reserve Intelligence Command. Under OPNAVINST 5040.7K, requests for this report, portions thereof, or correspondence related thereto, from a source external to the Department of the Navy shall be promptly referred to the Commander, Naval Reserve Intelligence Command, who shall further refer the request with recommended action thereon to the Naval Inspector General for Navy Department coordination and clearance. Holders of this report shall strictly observe this caveat.

//Signed//

Copy to:

COMNAVAIRESFOR (N2)

SAMPLE 18-MONTH INTELLIGENCE OVERSIGHT INSPECTION REPORT

RIAC ON UNIT

5040

Ser xxx/xxx

ddmmyy

From: Reserve Intelligence Area Commander, RIA XX

To: Commanding Officer, NR Unit Name

Subj: REPORT OF 18-MONTH INTELLIGENCE OVERSIGHT INSPECTION OF UNIT NAME

Ref: (a) COMNAVRESINTCOMINST 5040.1H

(b) SECNAVINST 3820.3D

1. Background. Pursuant to reference (a), (b), and (c), an 18-Month Intelligence Oversight Inspection of Unit Name was conducted on ddmmyy.

2. Scope of Inspection. The Inspector reviewed compliance with intelligence oversight requirements as addressed in references (b) and (c).

3. Overall Evaluation. The overall inspection grade is Satisfactory.

4. Satisfactory Areas with Recommendations for Improvement. Unit Name has complied with all intelligence oversight requirements. Personnel understand the basic principles of the intelligence oversight regulation and have been briefed with respect to intelligence oversight in accordance with reference (c). The Inspector found no evidence of intelligence oversight violations.

5. Unsatisfactory Areas and Required Corrective Action. None.

6. Conclusions and Other Comments. None.

Subj: REPORT OF 18-MONTH INTELLIGENCE OVERSIGHT INSPECTION OF UNIT NAME

7. Caveat. The information contained herein relates to internal practices of the Department of the Navy and is an internal communication within the inspecting command. This report is not releasable, nor may its contents be disclosed outside of original distribution, nor may it be reproduced in whole or in part (except for limited internal use within the inspected command,) without prior written approval of Commander, Naval Reserve Intelligence Command. Under OPNAVINST 5040.7K, requests for this report, portions thereof, or correspondence related thereto, from a source external to the Department of the Navy shall be promptly referred to Commander, Naval Reserve Intelligence Command, who shall further refer the request with recommended action thereon to the Naval Inspector General for Navy Department coordination and clearance. Holders of this report shall strictly observe this caveat.

//Signed (RIAC)//

Copy to:

COMNAVRESINTCOM

SAMPLE INTELLIGENCE OVERSIGHT CERTIFICATION PROVIDED BY

UNIT TO RIAC FOR COMNAVRESINTCOM ON RIAC/RIA

5040

Ser xxx/xxx ddmmyy

From: Commanding Officer, NR Unit Name

To: Reserve Intelligence Area Commander, RIA XX

Subj: STATEMENT OF INTELLIGENCE OVERSIGHT

Ref: (a) COMNAVRESINTCOMINST 3820.1K

1. Within the past reporting period, personnel of Unit Name have complied with all intelligence oversight requirements. Unit personnel understand the basic principles of the intelligence oversight regulation and have been briefed with respect to intelligence oversight in accordance with reference (a). No questionable activities, as defined in SECNAVINST 3820.3D, have been identified as having been conducted by or on behalf of the intelligence reserve. There have been no intelligence oversight violations.

//Signed (Unit CO)//

SAMPLE SPECIAL INTEREST ITEM CERTIFICATION PROVIDED BY

UNIT TO RIAC FOR COMNAVRESINTCOM ON RIAC/RIA

5040

Ser xxx/xxx ddmmyy

From: Commanding Officer, NR Unit Name

To: Reserve Intelligence Area Commander, RIA XX

Subj: SECNAV/CNO and COMNAVRESFOR Special Interest Items

Ref: (a) OPNAVNOTE 5040 of 13 Feb 96

(b) COMNAVRESFORNOTE 5040 31 Aug 95

1. Within the past reporting period, Unit Name has complied with all applicable SECNAV/CNO and COMNAVRESFOR Special Interest Item requirements. There are (no/number) identifiable discrepancies. (Identified discrepancies must be discussed).

//Signed (Unit CO)//