Coast Guard Knowledge Summit

18-20 February 2009

SOHV Integrated Management System

What is the Sector Ohio Valley Integrated Management System?

A system of gathering, tracking, and understanding information with the goal of achieving and sustaining operational excellence and meeting other Coast Guard goals.

information

information informationinformation

IMS

Knowledge

Performance!

Why Create a Knowledge Management System?

Our cutters, boats, and aircraft and integrated and mutually supportingOut command, control, and communications systems are getting thereOur management systems are …?

Why Create a Knowledge Management System?

High risk, complex, and dynamic environmentbring order to chaos, identify risk, and provide us with the tools to meet our goalsContinuity& sustained performance over time/PCS moves

Knowledge Management must have a goal•Mission – Maritime Safety, Security, Stewardship•Performance – deliver results•Competition – better than any alternatives•Change – cope with a dynamic world

The Goal of the SOHV IMS

Translate Strategic Direction into Sustained Performance Excellence

Continuous Improvement and Adaptation in a Dynamic Environment

Performance!

“Transparency of information breeds self-correcting behavior.”

Organizational Approach

“Mission execution is what we do.”“We must adapt and evolve into a

change-centric, learning organization.”

Organizational Goal

Sector Ohio Valley’s Approach

In order to remain goal focused, the SOHV IMS begins with our Strategic Business PlanTransparency of Information - goals, measures, targets, policies, etc are all clearly posted and visible to all SOHV membersTrust in the Command, in the IMS, and among the members and units within the Sector is criticalChange Centric CultureBroad participation across the Sector – all units and all levels

What is the SOHV Integrated Management System• Is Based on the Commandant’s Performance Excellence Criteria

• Implements Standard Operational Planning Process & Mission Management System

• Uses Enterprise Applications & Data

• Implements the Incident Command System in Daily Activities

• Includes Contingency Planning & Exercises

• Promotes Unity of Effort

• Employs a Tailored Dashboard System

SOHV Integrated Management System

MAJOR COMPONENTS

Strategic Business PlanSupporting Plans for outreach, training, etcUse of ICS for routine operationsLeadership InitiativesCommunication tools (Riverbend, Blog, etc)Balanced Scorecards with measures/targets

Mission PerformanceReadinessLeadershipPartnerships

Strategic Business Plan Components

Begins with strategic direction from COMDT concerning Safety, Security, & Stewardship missions.Links HQ goals with SOHV activities, and prioritizes those activitiesOrganized by mission, not department or unit to emphasize Unity of EffortHas specific measures and targets (Balanced Scorecard)Identifies long term (5 year) objectives

ESC “SBP Alignment” Review

SOHV Overall PREV RESP LOG NASH CINC PITT HUNT PADU OSAG OBIO CIMA CHEN CHIP OUAC DANASCC VTSPLAN

SOPP Effectiveness Asset Hours QualsDeployabilityWorkload SurveysDrills UpwardSafety

Achievements DashboardSBPSWOT ObjectivesMinutes Balanced Scorecard McDevan Initiatives

D8OPD RequiredGoals Area Measure Target Current Goals Area Measure Target Current

Deployability >90% 95.3% Mariners Saved ACGN 95% 0%Overweight(AD/R) <2% 2.6% Mariners Saved BCGN 88% 0%Competencies >75% 75% Property Saved 80% 0%HAZWOPER >90% 94% # Reportable CAG 208 34ICS - General >90% 89.6% # Mariner Deaths 2 0ICS - IMT 100% 52.5% # Mariner Injuries 16 8GMT (AD/R) >90% 81.0% # Passenger Deaths 4 0Update 100% 97% # Passenger Injuries 2 1Exercise 100% 100% Barge Break-aways 39 14Prevention 100% 100% Towing Vsl Insp 76 160Response 100% 92% LORAN Availability 99.90% 99.90%Plan 100% 100% Fixed ATON on time 97% 83%Command Center 100% 98% MTSA Vsl Breaches 0 0Logistics 100% 100% MTSA Fac Breaches 15 6WLR "C" 6854.4 4314 # Incidents @ Events 0 0RBS % Bravo 92% SafePort Spot Checks 100% 97.2%DART % Bravo 100% Facility ACE 100% 97.2%PPE 100% 100% # Pollution Incidents 97 17STE 100% 100% Spill Volume (gals) 2344 294.7Reserve Recall >90% 87.3% CT (Vsl cases > 30d) 20 10AWS >90% 78% CT (Fac cases > 30d) 7 1ERROR 100% 50% CT (Inv cases > 60d) 40 26SIPRNET 100% 81% CT (SAR cases > 30d) 0 0RFO 80 88.7 CT (Viol cases > 120d) 9 4STAN 40 43 Ex Survey - Prevention >4 4.7MLC Compliance Compliant Ex Survey - Response >4 4.6WLR SEOPS Compliance Compliant Ex Survey - Planning >4 4.7LORSTA QA 70 77.2 Ex Survey - VTS >4 4.5SCC >80% 0% Ex Survey - SCC >4 4.7VTS OPEVAL Compliance Pending Ex Survey - WLR >4 4.7

Evaluation CPEC Evaluation Bas Effective Bas Eff/Beg Goals Area Measure Target CurrentGoals Area Measure Target Current Voting Mbrs Attendance 50% 69%

Mishap (A,B) 0 0 AMSP Update 100% 100%Mishap (C,D) 14 3 MSRAM Update 100% 100%IDP (AD) 100% 81% RMMP Develop 100% 80%CPO Acad (AD/R) 100% 45% IJ Delays 0 0Plan (AD) 90% 93% OGA/CG Water Patrols >0.54 1.12AD Challenge 50% 82% OGA/CG Shore Patrols >2.29 6.34

Education AD Use of TA 25% 13% Benkert Applications 1 0CGI Assess AD Completed 25% 23% TBSIP Participants 2 2

Quality 0 Return 0 ACOE "Fleet Sweep" Insps 6 2Timeliness 100% 100% D8/ACOE/Ind WAP Update 100% 100%

Recognition Timeliness 100% 100% Marine Events 127 15Transition Sponsor Survey >4 4.25 Mission Count 1001 110

Internal Survey >4 4.1 Education Hours 1861 192.5D8 Workplace >4 4.5 JTTF Joint Responses 100% 100%

Incr

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Par

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Equipment

Drills

InspectionAch

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Ris

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Incr

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Env

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tect

ion

Incr

ease

Cus

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atis

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ion

Maritime Safety Commercial Vessels and

Facilities

SAR and Boating Safety

Casework

Maritime Security

Incr

ease

Em

ploy

ee

Sat

isfa

ctio

n

Safety

Satisfaction

Evaluation

Physical Fitness

Prof Dev

Sector Ohio Valley - Balanced Scorecard

Incr

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Rea

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ss

Impr

ove

Man

agem

ent &

Pro

cess

es

SOHV RequiredUSCG Required

Personnel

Training

Policies

Plans

Maritime Stewardship

Customer Service

CGAUX D8ER

Marine Industry

Local LE

AMSC

Goals Area Measure Target CurrentDeployability >90% 95.3%Overweight(AD/R) <2% 2.6%Competencies >75% 75%HAZWOPER >90% 94%ICS - General >90% 89.6%ICS - IMT 100% 52.5%GMT (AD/R) >90% 81.0%Update 100% 97%Exercise 100% 100%Prevention 100% 100%Response 100% 92%Plan 100% 100%Command Center 100% 98%Logistics 100% 100%WLR "C" 6854.4 4314RBS % Bravo 92%DART % Bravo 100%PPE 100% 100%STE 100% 100%Reserve Recall >90% 87.3%AWS >90% 78%ERROR 100% 50%SIPRNET 100% 75%RFO 80 88.7STAN 40 43MLC Compliance CompliantWLR SEOPS Compliance CompliantLORSTA QA 70 77.2SCC >80% 0%VTS OPEVAL Compliance Pending

Evaluation CPEC Evaluation Bas Effective Bas Eff/Beg

Equipment

Drills

Inspection

Sector Ohio Valley - Balanced Scorecard

Incr

ease

Rea

dine

ssIm

prov

e M

anag

emen

t & P

roce

sses

Personnel

Training

Policies

Plans

Readiness Metrics

Medical, Dental, ICS, and GMT for Sector are all well above D8 and CG averages, including reserve data.

Monthly competition between all Sector units

USCG Sector Ohio Valley McDevan Award Scoring Matrix & Summary

UnitRFO &

STAN (35%) Deploy (25%) ICS (10%)GMT &

IDP (10%)HAZWOPR & OMSEP (10%)

PRESFITNESS

(10%) Current OverallSOHV (Louisville) 83 95.0 94.9 87.4 65.0 20.4 79.6 80.1MSU Huntington 77 95.7 90.9 93.7 86.1 21.7 80.1 76.4MSU Paducah 83 95.6 90.6 93.7 24.6 14.8 75.3 75.2MSU Pittsburgh 95 97.2 97.2 91.8 91.0 22.8 87.8 85.6MSD Nashville 91 95.9 96.5 90.7 87.5 6.3 83.9 81.3MSD Cincinnati 77 96.0 100.0 96.3 100.0 17.5 82.3 81.4CGC CHENA 91 89.3 67.3 72.1 79.0 23.6 78.4 79.2CGC CHIPPEWA 98 92.8 80.4 61.9 100.0 25.0 84.2 83.2CGC CIMMARON 86 92.9 83.1 90.6 100.0 20.0 82.7 80.9CGC OBION 95 96.5 90.5 89.9 92.0 27.1 87.3 84.2CGC OSAGE 96 100.0 100.0 96.9 58.3 22.2 86.3 83.3CGC OUACHITA 94 92.9 84.8 64.2 100.0 23.8 83.4 78.8LORSTA Dana 1 77 100.0 100.0 95.3 100.0 30.0 84.6 77.2

D8OPD RequiredGoals Area Measure Target Current

Mariners Saved ACGN 95% 0%Mariners Saved BCGN 88% 0%Property Saved 80% 0%# Reportable CAG 208 34# Mariner Deaths 2 0# Mariner Injuries 16 8# Passenger Deaths 4 0# Passenger Injuries 2 1Barge Break-aways 39 14Towing Vsl Insp 76 160LORAN Availability 99.90% 99.90%Fixed ATON on time 97% 83%MTSA Vsl Breaches 0 0MTSA Fac Breaches 15 6# Incidents @ Events 0 0SafePort Spot Checks 100% 97.2%Facility ACE 100% 97.2%# Pollution Incidents 97 17Spill Volume (gals) 2344 294.7CT (Vsl cases > 30d) 20 10CT (Fac cases > 30d) 7 1CT (Inv cases > 60d) 40 26CT (SAR cases > 30d) 0 0CT (Viol cases > 120d) 9 4Ex Survey - Prevention >4 4.7Ex Survey - Response >4 4.6Ex Survey - Planning >4 4.7Ex Survey - VTS >4 4.5Ex Survey - SCC >4 4.7Ex Survey - WLR >4 4.7

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Maritime Safety Commercial Vessels and

Facilities

SAR and Boating Safety

Casework

Maritime Security

SOHV RequiredUSCG Required

Maritime Stewardship

Customer Service

Target pro-rated for the year

Mission Execution

Metrics

Targets set at better than HQ level

and/or improvement

over prior year

Goals Area Measure Target CurrentMishap (A,B) 0 0Mishap (C,D) 14 3IDP (AD) 100% 80%CPO Acad (AD/R) 100% 45%Plan (AD) 90% 93%AD Challenge 50% 82%

Education AD Use of TA 25% 13%CGI Assess AD Completed 25% 23%

Quality 0 Return 0Timeliness 100% 100%

Recognition Timeliness 100% 100%Transition Sponsor Survey >4 4.25

Internal Survey >4 4.1D8 Workplace >4 4.5

Incr

ease

Em

ploy

eeSa

tisfa

ctio

n

Safety

Satisfaction

Evaluation

Physical Fitness

Prof Dev

Leadership and Employee Focused Metrics

Goals Area Measure Target CurrentVoting Mbrs Attendance 50% 69%AMSP Update 100% 100%MSRAM Update 100% 100%RMMP Develop 100% 80%IJ Delays 0 0OGA/CG Water Patrols >0.54 1.12OGA/CG Shore Patrols >2.29 6.34Benkert Applications 1 0TBSIP Participants 2 2

ACOE "Fleet Sweep" Insps 6 2D8/ACOE/Ind WAP Update 100% 100%

Marine Events 127 15Mission Count 1001 110Education Hours 1861 192.5

JTTF Joint Responses 100% 100%

Incr

ease

Par

tner

ship

CGAUX D8ER

Marine Industry

Local LE

AMSC

Partnerships and Externally Focused Metrics

SOHV Integrated Management System

Cascading “Balanced Scorecards” – Alignment & Balance

Current FY SBP Current FY Performance Plan

Measurement

Assessment

Adjustment

SOHV Integrated Management System

Next FY SBP

Year in Review

How Does It Work?Strategic Business Planning Cycle

(monthly review)

How Does It Work?Mission Execution

Process

Daily SCC Brief(Continuous Awareness)

Updated Command Priorities(Monthly Adjustment)

Sector Weekly IAP(Weekly Planned

Activities)

Incident Action Plan(Emergencies)

Workgroup Weekly 204(Routine Operations)

SOHV Integrated Management System

Performance!

Resource Availability

Incident Action PlanRoutine Operations

Required Deadlines

Readiness Measures

Resource Requirements(Monthly Update)

How Does It Work? Mission Support Process

Command Priorities

Bookshelf of IAP’sConsolidated Sector

Website

Best Practices

Sector’s SOP

Incident-specific IAPIndividual Sub-unit’s

Website

SOHV Integrated Management System

How Does It Work? Knowledge Management

D8 Workplace Assessment Sector-wideMay 0813.0

Customer & Stakeholder Survey ImplementedMay 0812.0

Change Management adoptedDec 0819.0

SOHV Reference SystemJul 0817.0

Sector NewsletterJul 0816.0

BSST Instruction DevelopedMay 0811.0

Mission Management System Fully CompliedMay 0810.0

D8 CPC AssessmentMay 0813.1

SOHV Major Incident Response Instruction ImplementedJun 0814.0

SOHV-Auxiliary Interoperability Optimized Jun 0815.0

Hamilton Application submittedFeb 0920.0

ImprovementDateVersion

SOHV Integrated Management System

How Does It Work? Continuous Improvement

High Personnel Readiness

Decreasing Case Work Cycle

Time

Increasing Competencies

Significantly Improved

Unity of Effort

SOHV Integrated Management System

Updated Plans

MeetingPerformance

Mandates

Greater Successin Acquiring

Resources

What Are the Results?Performance!

More Involved Work Force

More Involved Work Force

High Personnel Readiness

Increasing Competencies and Quals

Updated Plans

USCG Sector Ohio Valley McDevan Award Scoring Matrix & Summary

UnitRFO &

STAN (35%) Deploy (25%) ICS (10%)GMT &

IDP (10%)HAZWOPR & OMSEP (10%)

PRESFITNESS

(10%) Current OverallSOHV (Louisville) 83 95.6 94.9 #VALUE! 65.0 20.4 #VALUE! 80.3MSU Huntington 77 95.9 90.9 68.7 86.0 21.7 77.7 75.1MSU Paducah 83 95.3 90.6 69.0 24.9 14.8 72.8 75.2MSU Pittsburgh 95 97.5 97.2 67.1 91.0 22.8 85.4 84.9MSD Nashville 91 94.5 96.5 90.7 87.5 6.3 83.6 80.4MSD Cincinnati 77 94.7 100.0 #VALUE! 100.0 17.5 #VALUE! 81.1CGC CHENA 91 93.3 67.3 73.6 79.0 23.6 79.5 79.4CGC CHIPPEWA 98 90.4 80.4 62.2 100.0 25.0 83.7 82.9CGC CIMMARON 86 88.9 83.1 90.6 100.0 20.0 81.7 80.3CGC OBION 95 97.8 90.5 89.9 92.0 27.1 87.6 83.2CGC OSAGE 96 98.6 100.0 96.9 58.3 22.2 86.0 82.3CGC OUACHITA 94 95.9 84.8 64.2 100.0 23.8 84.1 77.3LORSTA Dana 1 77 100.0 100.0 95.3 100.0 30.0 84.6 74.81 LORSTA RFO value is scaled equivalent NAVCEN OA

Professional Mariner Injuries

0

5

10

15

20

25

30

35

FY06 FY07 FY08 FY09

MSD Cincinnati MSD Nashville MSU Huntington MSU Paducah MSU Pittsburgh SOHV (Louisville) Target (95% of prev FY)

Features:

• Is Based on the Commandant’s Performance Excellence Criteria

• Incorporates the Incident Command System in Routine Operations

• Uses a System of Cascading “Balanced Scorecards” to Ensure Organizational Alignment & Activity Balance

• Institutionalizes Planning & Exercise Processes to Promote Continuous Improvement

• Employs a Tailored Dashboard System to Facilitate Transparency of Information

• Uses Enterprise Tools & Data

SOHV’s Solution

SOHV Integrated Management System

CATEGORY

TQM

CPEC

ICS

CGBI

MMS

SOPP

SOHVIMS

Strategic Planning X X X X

Measurement X X X X X

Analysis X X X X X

Knowledge Management

X X X X

Process Management X X X X X X

Performance Results X X X X X

Innovation X X X

Crisis Management X X

Organizational Alignment

X X X X X

Activity Balance X X X

Continuous Improvement

X X X X

TQM – Total Quality ManagementCPEC – Commandant’s Performance Excellence CriteriaSOPP – Standard Operational Planning ProcessCGBI – Coast Guard Business IntelligenceMMS – Mission Management SystemICS – Incident Command SystemSOHVIMS – SOHV Integrated Management System

SOHV Integrated Management System

Like the “Planning P”, the SOHV Q is our model for Readiness and Quality

SOHV Integrated Management System

ROUTINE OPERATIONS Tools CRISIS MANAGEMENT

Lead Purpose SOHV IMS INST

Purpose Lead

Sector Command Center Daily Brief ICS-201 Incident Briefing Initial Incident Commander

Executive Steering Committee Command Objectives ICS-202 Incident Objectives Planning Section Chief

Sector Duty Officer WQSB ICS-203 Org Assignment List Resources Unit Leader

Depts, MSUs, MSDs Work Plan ICS-204 Assignment List Resources Unit Leader

Sector Command Center Comms Plan ICS-205 Radio Comms Plan Communications Unit Leader

Sector Logistics Medical Plan ICS-206 Medical Plan Medical Unit Leader

Sector Duty Officer Duty List ICS-207 Organization Chart Resources Unit Leader

Sector Deputy Safety Plan ICS-208 Site Safety Plan Safety Officer

Sector Deputy Requests for Support ICS-215 Op Planning Worksheet

Operations Section Chief

Seamless Transition From “Q” to “P”

High Personnel Readiness

Better Management of Workload

Significantly ImprovedUnity of Effort

More Satisfied Work Force Up-to-date Plans

MeetingPerformance Mandates

Greater Successin Acquiring Resources

SOHV Integrated Management System

High Customer Satisfaction

“Minding P’s and Q’s” and SOHV Success

OPERATIONAL READINESS MISSION EXECUTION

SOHV Integrated Management System

Key to Successful Implementation

RESISTANCE & BARRIERS SOLUTIONS

Resistance to ChangeMisunderstandingLow Tolerance of ChangeDisagreement Over the Need for ChangeSelf Interest

Designate a Change Management TeamCAPT Nguyen—Executive SponsorCSC Wigman-Nilsson—Change Manager

EducationSOHV IMS BriefSOHV Commander’s UNREP SessionUnit’s Visits

OwnershipSOHV “Leadership Compact”Joint Development of Plans & SolutionsIncorporation of Useful Best Practices

RoutineUse of ICS FormsSOHV ERROR Exercise Program

RewardSOHV Semper Paratus AwardSOHVIMS Innovator AwardSOHV Recognition Coin

Next Steps and Wider Applicability?

Enterprise data and applications must be connected, easy to use, and performance orientedLeadership must be incorporated into all systemsSystems must be dynamic like our operating environmentSystems must be connected across all operational and support unitsRecognize that one unit’s outcome/output is another’s input