table of contents · table of contents information page . tag endorsement memorandum . introduction...

Table of Contents

Information Page TAG Endorsement Memorandum Introduction External Communication Channels I-I Kentucky Army National Guard Senior Leaders I-II Major Subordinate Commands I-III Primary and Special Staff I-IV Commonwealth of Kentucky & Key Locations I-V Kentucky Army National Guard (KYARNG) Disposition of Units I-VI Kentucky Geographic Position I-VII Strategic Lines of Effort & Objectives with Alignment I-VIII Organizational Profile P-I P.1 Organizational Description P-I Fig.P.1.a.(3) Workforce Groups & Segments P-I Fig. P.1.a.(4) Assets P-II Fig. P.1.a.(5) Regulatory Requirements P-II P.2 Organizational Situation P-III Fig. P.2.a.(1) Competitors & Resources P-III Fig. P.2.b.(1) Strategic Challenges & Advantages P-IV Fig. P.2.c.(1) Key Performance Improvement Systems P-IV Fig. P.2.c.(2) Master Process P-V 1.0 Leadership 1 1.1 Senior Leadership 1 Fig. 1.1.a.(2) Promoting Legal & Ethical Behavior 1 Fig. 1.1.b Workforce & Key Customer Engagement Process 1 1.2 Governance and Societal Responsibility 2 Fig. 1.2.a(1).1 USPFO Internal Review 2 Fig. 1.2.a(1).2 USPFO – Payroll 3 Fig. 1.2.a(1).3 USPFO – Logistics 3 Fig. 1.2.b.(1) OSJA-Agency Compliance 4 Fig. 1.2.c.(2) PAO Complaint & Query Process 5 2.0 Strategic Planning 5 2.1 Strategy Development 5

Fig. 2.1.a.(1).1 Senior Steering Committee 6 Fig. 2.1.a.(1).2 Strategic Planning Committee 6 Fig. 2.1.a.(1).3 Planning Horizons 7 Fig. 2.1.a.(3) Strategy Considerations 7

2.2 Strategy Implementation 8 Fig. 2.2.a.(2).1 Operations Order Process 9 Fig. 2.2.a.(2).2 FRAGO Process 9

3.0 Customer Focus 10 3.1 Voice of the Customer 10

Fig. 3.1.a.(1) Listening to the Customer 11 Fig. 3.1.b.(1).1 Federal Customer Satisfaction 13 Fig. 3.1.b.(1).2 Planned State Active Duty 14

3.2 Customer Engagement 14 Fig. 3.2.b.(1) Customer Relationship Management 16

4.0 Measurement, Analysis, and Knowledge Management 17 4.1 Measurement, Analysis, and Improvement of Organizational Performance 17

Fig. 4.1.a.(1) Readiness Cycle 17 Fig. 4.1.a.(3) Mobilization Process 18 Fig. 4.1.a.(4) Process Evaluation System 19 Fig. 4.1.b Staff Battle Rhythm 20 Fig. 4.1.c.(1) Unit Training Plan Development and Approval 20

4.2 Management of Information, Knowledge, and Information Technology 21 Fig. 4.2.a.(1) Data and Information 21 Fig. 4.2.a.(2) Change Request 22 Fig. 4.2.b.(1) Knowledge Management Process 22

5.0 Workforce Focus 23 5.1 Workforce Environment 23

Fig. 5.1.a.(1).1 G1 UMR Management 23 Fig. 5.1.a.(1).2 G1 Medical Readiness 24 Fig. 5.1.a.(2) Recruiting – Supply Chain Management 25 Fig. 5.1.b.(2) Workforce Benefits and Policies 26

5.2 Workforce Engagement 27 Fig. 5.2.a.(1) Culture & Communication 27 Fig. 5.2.a.(2) G1 Workforce Development & Engagement 27 Fig. 5.2.b.(1).1 Workforce Training Opportunities 28 Fig. 5.2.b.(1).2 G3 Ready Soldier 29

6.0 Operations Focus 30 6.1 Work Processes 30

Fig. 6.1.a.(1) Product Design 30 Fig. 6.1.a.(3) Process Design & Development 31 Fig. 6.1.b.(3) Inspections 32 Fig. 6.1.c. Supply Chain Management 33

6.2 Work Operational Effectiveness 33 Fig. 6.2.a.1 PBAC 33 Fig. 6.2.a.2 Unit Training 34 Fig. 6.2.a.3 G4 New Equipment Fielding 34 Fig. 6.2.b.(1) Systems & Services Request 35 Fig. 6.2.b.(2) Security & Protection 35 Fig. 6.2.c.(2).1 Installation Security Management 37 Fig. 6.2.c.(2).2 Disaster Recover Tiers 38

7.0 Results 38 7.1 Product and Process Results 38 7.1.a. Customer-Focused Product & Services 38

Military funeral & honors 38

# State active duty (SAD) missions supported 38 Qualified crews 38 Crew serve weapons qualification 38 MET Proficiency 38 Collective LFX proficiency 38 IDT attendance 38 Commanders & staff proficient in mission command 38 Years since last Exeval 38 #Bn or above collective events within the past two years 38 G4 CDU equipment on hand % 38

7.1.b.(1) Process Effectiveness and Efficiency 39 KMWG task completion percentage 39

Medical availability 39 Enlisted DMOSQ 39 Enlisted DMOSQ ranking 39 IDT Attendance 39 G4 Maintenance status 39 KY average operational readiness rate 39 OR pacing 39 Perry OR 39 Unit 25% annual required service completed 39 149th MEB 39 75th Trp Cmd 39 138th Fires Bde 39 63rd TAB 39 State TMDE delinquency 39 Aircraft readiness 39 OR rate AASF 39 OR rate (Lift) 39 OR rate (LUH) 39 OR rate (MED) 40 G4 EOH % (equipment on hand) 40 Pacing 40

7.1.b.(2) Safety & Emergency Management 40 Installation Emergency Management 40 7.1.c. Supply Chain Management 40

G4 40 EOH % (equipment on hand) 40 Pacing 40

RSP 40 RSP national rank 40 Training seat management rate 40 RSP negative end strength % 40

Shipper quality control rate 40 Enlisted training pipeline (IADT) success (12 mo rolling) 40

7.2 Customer Results 40 7.2.a.(1) Customer Satisfaction 40 Military funeral & honors customer feedback 40 7.3 Workforce Results 41 7.3.a.(1) Workforce Capability and Capacity 41

Enlisted DMOSQ 41 Enlisted DMOSQ ranking 41 Individual weapons qualification 41 NCOES backlog 41 OPME 41 OES ranking 41 ILE common core 41 CCC ranking 41 NCOES 41 NCOES ranking 41 BLC ranking 41 ALC ranking 41 SLC ranking 41 Medical availability 41 AWOL 41 No-Val Pay 41 No-Val Pay national ranking 41 Percentage ESA (end strength allowance) 41 Security clearance 41 Valid clearances 41 Denied & revoked clearances 41 National ranking 41

7.3.a.(2) Workforce Climate 42

No-Val Pay 42 No-Val Pay ranking 42 # Drug separation 42 SARC 42 Referrals (Chaplain) 42 # Behavioral health 42 # FAC assistance requests 42 #URI 42 Security & protection programs 42 Physical security 42 Industrial security 42 Information security 42 Anti-Terrorism 42 Foreign disclosure 42

Visitor control 42 Counter-Intelligence 42 TARP 42 Personnel security 42 Installation emergency management 42

7.3.a.(3) Workforce Engagement 43 Organizational workforce survey 43 Retention (careerist) 43

7.3.a.(4) Workforce Development 44 OPME 44 OES ranking 44 ILE common core 44 CCC ranking 44 NCOES 44 NCOES ranking 44 BLC ranking 44 ALC ranking 44 SLC ranking 44 Medical availability 44 Aircrew readiness levels 44 RL1 PI status 44 RL 1 CE status 44 RL1 Medevac status 44 Demographics 44 Caucasian 44 Asian 44 Black 44 Native American 44 Hispanic 44 Male-Female ratio 44 NGB comparison 44

7.4 Leadership & Governance Results 44 7.4.a.(2) Governance 45

External inspections 45 Intelligence oversight inspections 45 Special inspections 45

7.4.a.(3) Law and Regulation 45

Founded AR 15-6 allegations 45 Ranking 45 Admin board actions conducted 45 Investigative inquiries 45 Not substantiated 45 Substantiated 45

Formal investigations 45 Not substantiated 45 Substantiated 45 Management of internal controls 45 Program compliance 45 Assessment completion rate 45

7.4.a.(4) Ethics 45 OGE 450 submission 45

7.4.a.(5) Society 46 Internal review open findings 46 0-90 days 46 91-180 days 46 181-365 days 46 Greater than 365 days 46 Internal review recommendations 46 Implementation rate 46 Open recommendation rate 46 Closed – risk 46

7.4.b. Strategy Implementation Results 46 Strategic planning process review 46 Senior steering committee meeting 46 Strategic planning committee meeting 46 Mission, Vision, Values, & Lines of effort deployment 46 SMS update 46

7.5 Financial and Market Results 47 7.5.a.(1) Financial Performance 47

2060 financial results 47 2065 financial results 47 Execution rate 47 Obligation rate 47 Unliquidated travel authorizations – expired duty >30days 47 2060 obligation rate 47

7.5.a.(2) Marketplace Performance 47 UAT (Unit assessment tool) 47 63rd TAB & subordinate units 47 75th Trp Cmd & subordinate units 47 138th FAB & subordinate units 48 149th MEB & subordinate units 48 JFHQ units 49

Glossary A-C

OFI Appendix A-I – A-II Diversity Appendix B-I – B-II

Applicant: Kentucky Army National Guard Bldg 100, 100 Minuteman Parkway Boone National Guard Center Frankfort, KY 40601-6168

Highest Ranking Official: MG Stephen R. Hogan

The Adjutant General Kentucky National Guard Phone: 502-607-1558 E-mail: [email protected]

KY Army National Guard: BG Benjamin F. Adams III Chief of Joint Staff

Phone: 502-607-1445 E-mail: [email protected]

COL William A. Denny Chief of Staff Phone: 502-607-1032 Email: [email protected] Official Point of Contact: LTC G. Tom Roach Jr.

Knowledge Management Officer Phone: 502-607-1936 E-mail: [email protected]

mailto:[email protected]




Introduction - I

External Communication Channels

Introduction - II

Kentucky Army National Guard Senior Leaders

GovernorMatt Bevin

Department of Military Affairs

MG Stephen R. Hogan

Assistant Adjutant General (Army)

BG Scott Campbell

Land Component Commander

BG Benjamin F. Adams III

Chief of StaffCOL William A.

DennySpecial Staff

Introduction - III

Major Subordinate Commands

Introduction - IV

Primary and Special Staff

Introduction - V

Commonwealth of Kentucky & Key KYARNG

Locations

Introduction - VI

KYARNG Disposition of Units

Introduction - VII

Kentucky Geographic Position

Number of Installations

with 600 Miles

Army 29

Air Force 22

Navy 18

Marines 03

Total 72

Introduction - VIII

1.0 Qualified, Confident & Fit Soldiers & Airmen – Decisive Effort (1-3 years) (Priority)

Alignment

1.1 Qualified: MOS / AFSC proficiency, individual weapon proficiency, and PM & Civ ED Cat 1-6 Cat 7

1.1.1 MOSQ G3

Train

5.2.b.(1) 7.1.b.(1) 1.1.2 PME G3 5.2.b.(1) 7.3.a.(4) 1.1.3 IWQ G3 2.1.b.(1) 7.3.a.(1) 1.1.4 Clearance G2 5.1.b.(1) 7.3.a.(1) 1.1.5 NCOES backlog G3 5.2.b.(3) 7.3.a.(1)

1.2 Confident: in self, leadership, and organization Cat 1-6 Cat 7 1.2.1 Retention (careerist) G1

Retain

5.2.a.(3) 7.3.a.(3) 1.2.2 IG complaints IG 1.2.b.(1) 7.4.a.(3) 1.2.3 Congressional /Governor inquiries SGS 1.2.c.(1) 7.4.a.(5) 1.2.4 Command climate surveys HRO 5.2.a.(3) 7.3.s.(3) 1.2.5 Unfair labor practices HRO - -

1.3 Fit: physically, mentally, and spiritually Cat 1-6 Cat 7 1.3.1 APFT G1

Sustain

- - 1.3.2 HT/WT G1 - - 1.3.3 Medical availability G1 5.1.a.(1) 7.1.b.(1) 1.3.4 CCIR's (#1 & #8) G5 - - 1.3.5 AWOL G1 - 7.3.a.(1) 1.3.6 No-Val Pay G1 - 7.3.a.(1)

2.0 Unit Readiness – Shaping Effort (3-5 years) Alignment 2.1 Trained units (Priority) Cat 1-6 Cat 7

2.1.1 CSWQ G3

Train

2.1.b.(1) 7.1.a. 2.1.2 LFX G3 2.1.b.(1) 7.1.a. 2.1.3 Crew qualified G3 2.1.b.(1) 7.1.a. 2.1.4 MET Proficiency G3 2.1.b.(1) 7.1.a. 2.1.5 # Days spent on PLT or above collective tng G3 2.1.b.(1) 7.1.a.

2.2 Equipped units Cat 1-6 Cat 7 2.2.1 OR rate G4/DOA

Sustain

2.2.a.(6) 7.1.b.(1) 2.2.2 Services G4/DOA 2.2.a.(6) 7.1.b.(1) 2.2.3 CDU equipment on hand G4 6.1.c. 7.1.b.(1) 2.2.4 MTOE/TDA LIN shortage percentage G4 6.1.c. 7.1.b.(1)

2.3 Commanders & Staff proficient in Mission Command Cat 1-6 Cat 7 2.3.1 # Years since last ExEval G3

Train 6.2.a 7.1.a.

2.3.2 # Bn or above collective events within past 2 yrs (incl. NGCS) G3

6.2.a 7.1.a.

Introduction - IX

3.0 Relevance – Sustaining Effort Alignment 3.1 External force management (force structure) (3-5 years) Cat 1-6 Cat 7

3.1.1 UAT G1/G3 Product Delivery

- 7.5.a.(2) 3.1.2 Percentage ESA G1 - 7.3.a.(1) 3.1.3 Capacity for ES G1/FMO - 7.3.a.(1)

3.2 Internal force management (stationing) (3-5 years) Cat 1-6 Cat 7 3.2.1 Capacity @ location FMO Sustain - - 3.2.2 Demographics RRB Recruit - 7.3.a.(4) 3.2.3 MILCON/SRM execution FMO Sustain

- - 3.2.4 Energy efficiency FMO - -

3.3 Responsible stewardship (1-3 years) Cat 1-6 Cat 7 3.3.1 Retention G1

Sustain

5.2.a.(3) 7.3.a.(3) 3.3.2 Operationally available G1 3.1.b.(2) - 3.3.3 Ethics training JAG 1.1.a.(2) - 3.3.4 OGE 450 submissions JAG 1.1.a.(2) 7.4.a.(4) 3.3.5 MICP CoS - 7.4.a.(3) 3.3.6 OIP G3 6.1.b.(3) - 3.3.7 Fiscal law training USPFO 1.1.a.(2) - 3.3.8 FLIPL/Value USPFO - - 3.3.9 # founded AR 15-6 allegations JAG - 7.4.a.(3) 3.3.10 # Administrative board actions JAG - 7.4.a.(3) 3.3.11 Fiscal execution rate USPFO - 7.5.a.(1) 3.3.12 PII leaks G6 6.2.b.(2) - 3.3.13 Energy usage intensity FMO - - 3.3.14 Excess equipment on hand USPFO - 7.1.c 3.3.15 CCIR G5 - - 3.3.16 # Internal review findings USPFO 1.2.a.(1) 7.4.a.(5) 3.3.17 Safety DOA 6.2.c.(1) 7.1.b.(2)

4.0 Community Connections – Sustaining Effort (1-3 years) Alignment 4.1 Employed Cat 1-6 Cat 7

4.1.1 CEI - employed, unemployed, student #'s G1

Sustain

- -

4.1.2 # ETS'ing at Final formation due to employer conflicts G1

- -

4.1.3 # Boss lift G1 - - 4.1.4 # Workforce development initiative G1 5.2.a.(2) - 4.1.5 # ESGR awards G1 - -

4.2 Involved Cat 1-6 Cat 7

4.2.1 # requests for community support (SAD missions) G5 Product

Delivery

- -

4.2.2 # Legacy mentors G1 - - 4.2.3 # Volunteer awards G1 - -

Introduction - X

4.3 Resilient Cat 1-6 Cat 7 4.3.1 # CCIR #1 G5

Sustain

- - 4.3.2 # Discharge actions G1 - 7.3.a.(2) 4.3.3 SARC G1 - 7.3.a.(2) 4.3.4 # Behavioral health G1 - 7.3.a.(2) 4.3.5 # Chaplain referrals Chaplain - 7.3.a.(2) 4.3.6 # FAC assistance requests G1 - 7.3.a.(2) 4.3.7 # URI G1 5.2.a.(3) 7.3.a.(2)

Organizational Profile P.1 Organizational Description P.1.a. Organizational Environment: The Kentucky Army National Guard (KYARNG) is an all-volunteer reserve component of the United States Army & part of Kentucky’s Department of Military Affairs (DMA) (See introduction charts for details).

P.1.a.(1) Product Offerings: The KYARNG product is ready forces. We deliver forces to our Federal customer via a U.S. Forces Command (FORSCOM) mobilization order that specifies unit type, number of personnel, & equipment quantity by type. We deliver forces to our state customer in response to the Governor’s executive order for planned, response, or military funeral honors support. P.1.a.(2) Vision & Mission: Mission: The Kentucky Army National Guard provides relevant, ready forces prepared to respond to Federal & State missions.

Vision: The premier unit-based force of Citizen-Soldiers, maintaining a relevant force structure spanning all warfighting functions serving the Nation. At home, the KYARNG fully postures leaders & units to respond to a complex catastrophe on the worst night in the Commonwealth. Simultaneously, we deliver a sense of purpose, worth, & well-being to Guardsmen, their families, & employers thereby connecting to Main Street Kentucky.

Corporate Values: Balanced, Agile, Responsive, Prepared, Altruistic, & Professional.

Core Competencies: Soldier readiness, training readiness, and equipment readiness. These core competencies directly support our ability to deliver ready units to our customers. P.1.a.(3) Workforce Profile: KYARNG force structure reductions have decremented the number of assigned traditional positions & full-time authorizations.

Key Groups Number (1) Traditional 5,320

(2) Title 32 AGR 521 (3) Mil-Tech 496

(4) Non-Dual Status Tech (Civ.) 29 (5) ADOS & Temp Tech (30 + days) 184

(6) Title 10 (Mobilized & AGR) 200 Total Number of Soldiers (1+2+3+5+6) 6,721

Key Segment Number Minimum CIV Education

Minimum Professional MIL Education

Commissioned Officer 616 BA/BS Varies by rank & position Warrant Officer 164 HS Diploma

Enlisted 5,941 HS Diploma Non-Dual Status Tech 29 Varies by position

N/A ADOS & Temp Tech 184 N/A Fig. P.1.a.(3)

Workforce benefits are defined by laws & regulations. Monetary compensation includes competitive salaries, & bonuses. Other benefits include state university & community/technical college tuition assistance, military & technician awards, medical & dental, retirement, civilian transferrable skills, specialty training, preventative education, & military specific education. Qualifying technicians may also have union representation. Employees comply with all Army, & federal health & safety requirements which include annual health assessments, physical fitness tests, immunizations, urinalysis, security clearances, physical, information, & cyber security.

*All data & results are as of 30 April 2017

Profile - II

P.1.a.(4) Assets: We utilize & maintain equipment valued at $1.1 Billion.

Major Assets Federal Customer Support

State Customer Support Facilities Quantity

Readiness Centers (Armories) 54 X X Joint Readiness Centers 7 X X Training Center\Site 3 X X Acreage 13,509 X Aviation Operations Facility 1 X X Army Aviation Support Facility (AASF) 1 X X Joint Force Headquarters (JFHQ) 1 X X Joint Operations Center (JOC) 1 X X Regional Training Institute (RTI) 1 X U.S. Property Fiscal Office (USPFO) 1 X Ground Maintenance Facilities 2 X X Field Maintenance Shops (FMS) 10 X X Equipment Quantity C-12 Fixed Wing 1 X X Water Purification Systems (TWPS & LWP) 8 X X UH-72 Helicopter 7 X X UH-60 Helicopter 13 X X Recovery Vehicles – all types 45 X X Tracked Vehicles 41 X X Multi-role bridge with launchers 66 X X Generators (Larger than 10kW) 168 X X Heavy Construction Equipment 134 X X Generators (10kW & below) 310 X X Command & Control Systems 2,576 X X Heavy Wheel Vehicles 1129 X X Light Wheel Vehicles 687 X X Communication Assets 6,972 X X Specialty Unit Capabilities Quantity Civil Support Team 1 X X CBRNE Emergency Response Force Package 1 X X Joint Support Operations (JSO) 1 X Special Forces Military Intelligence Detachments 3 X X Fig. P.1.a.(4)

P.1.a.(5) Regulatory Requirements:

Categories Development Delivery USC Title 10 X USC Title 32 X X State Active Duty X Aviation X X

Profile - III

Environmental X EO\EEO\Diversity X X Equipment accountability X X Equipment usage X X Facility utilization X Fiscal accountability & utilization X X Full-Time manning voucher X Information security X X Maintenance X X Medical X X MTOE \ TDA \ Tailored unit X X Personal Info security X Personnel readiness X X Physical security X Safety X X Weapons training X Fig. P.1.a.(5)

P.1.b Organizational Relationships P.1.b.(1) Organizational Structure: See internal & external organizational charts in the introduction.

P.1.b.(2) Customers & Stakeholders: Customer authorities are FORSCOM for federal missions & the Governor for state missions. Immediate users are Federal & State organizations. Customers expect forces to arrive staffed, equipped, & trained to accomplish the specified mission.

Stakeholders include the Soldiers & their families, employers, supported US commanders overseas, the KY or other state civilian population, & foreign governments. Stakeholders expect forces are prepared to accomplish the specified mission (staffed, equipped, & trained), & then return safely to society.

P.2 Organizational Situation P.2.a.(1) Competitive Position: The KYARNG is a small sized state with approximately 6,700 Soldiers serving across all warfighting functions (See Introduction Charts). The KYARNG economic impact for Kentucky the past four years is nearly $1.2 billion dollars. KYARNG is postured to retain relevant & ready forces in order to meet federal & state missions. When compared to our competitors, we face similar changes in force structure & operational tempo (OPTEMPO).

Competitor Resource(s) Army, USAR & Other ARNG Title X missions & force structure

Other ARNG states Force structure, funding, missions Other military components, active & reserve Recruits

Public & private sector Employees Fig.P.2.a.(1)

P.2.a.(2) Competitiveness Changes: Key changes affecting the competitive situation include force structure, funding, & the recruiting pool (demographics). P.2.a.(3) Comparative Data: National rankings among the 54 ARNG states & territories using Directors Personnel Readiness Overview (DPRO), Unit Status Report (USR), Global Combat Support System-Army

Profile - IV

(GCSS-A), ATTRS Funding & Allocation Module (AFAM), Unit Assessment Tool (UAT), SMS, & Census Bureau data.

Limitations: Information classification, data availability, & DA systems (active component-centric, & stove-piped). P.2.b. Strategic Context:

Strategic Context Challenges (C) and Advantages (A)

Strategic Alignment

Business C: State budget matching funds 3.2

A: Culture & standards, geographic position 1.0 & 4.0

Operations C: Force structure relevance 3.1

A: Diverse force structure, equipment, capability, SPP partners 2.0

Societal Responsibility

C: Workforce diversity does not mirror the commonwealth 3.1

A: Tuition assistance programs 4.1

Work Force C: Increasing standards 1.0 & 3.2

A: Demographics supports increased end strength 3.2

Fig. P.2.b.1

P.2.c. Key Performance Improvement System:

Process Reference Frequency Echelon Baldrige External Assessment AR 5-1 A JFHQ

Baldrige Self-Assessment AR 5-1 A JFHQ Installation Status Report (ISR) AR 210-14 A JFHQ

Strategic Planning AR 5-1 \ KRS 48.810 A JFHQ Unit Analysis Tool (UAT) NDAA M JFHQ

SIB-X SVD 1.15.16 M JFHQ Management of Internal Controls

Program (MICP) AR 11-2 A JFHQ\BDE

Org Inspection Program (OIP) AR 1-201 A JFHQ\BDE\BN Unit Training Plans (UTP) AR 350-1 A JFHQ\BDE\BN\CO

After Action Review (AAR) AR 350-1 M JFHQ\BDE\BN\CO Unit Status Report (USR) AR 220-1 Q JFHQ\BDE\BN\CO

Fig.P.2.c.1 (A=Annual M=Monthly Q=Quarterly)

Profile - V

Fig. P.2.c.2

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Category 1 – Leadership 1.1 Senior Leadership 1.1.a.(1) Setting Vision & Values

The Senior Leaders of the Kentucky Army National Guard (KYARNG) set and deploy the organization’s Vison and Values as part of the senior steering committee process (Fig. 2.1.a.(1).1). (A-M,D,I)

1.1.a.(2) Promoting Legal & Ethical Behavior KYARNG Senior Leaders demonstrate their commitment to legal and ethical behavior (Fig.

1.1.a.(2)). This process is deployed through and integrated with key processes; including the OPORD & FRAGO processes (Figs. 2.2.a.(2).1 & 2.2.a.(2).2), and the inspection process (Fig. 6.1.b.(3)). (A-M,D,L,I)

Suppliers Inputs Process Outputs Customer Trainers

Congress

Army

OPM

NGB

Federal Law

Regulations

External Policies

1. Review External Guidance

2. Appoint Accountable Personnel

3. Identify Training Requirements

4. Develop Training Plan 5. Track Progress and

monitor system access 6. Evaluate Process 7. Evaluate Results

1. OGE 450

2. Ethics Counselors

3. Fiscal Law Requirements

4. PBAC Process

5. Annual Ethics

Requirements (SHARP, Human Trafficking)

Organization

Fig. 1.1.a.(2)

1.1.b. Communication Senior Leaders engage with the entire workforce and key customers (Fig.1.1.b). (A-M,D,I)

Workforce & Key Customer Engagement Process

Suppliers Inputs Process Outputs Customer FORSCOM

NGB

Senior Leaders

AR 350-1

FORSCOM 350-1

Leader’s Guide to Objective Training Assessment

NGB Guidance

Governor Guidance

1. Review external & previous year documents 2. Assess Requirements 3. Develop Plans 4. Implement Plans/Publish Guidance 5. Assess Progress (QRB, CUB, and PBAC) 6. Modify Plans (FRAGORD Sub process) 7. Evaluate Process 8. Evaluate Results

1. Commander Training Guidance 2. KY 350-1 3. Approved Unit training plans 4. Maintenance Priorities 5. Personnel Priorities

Subordinate

Leaders

Soldiers

Fig. 1.1.b.

2

This process is deployed thru and integrated in the PBAC (Fig.6.2.a.1), and training (Fig. 6.2.a.2) processes. (A-M,D,L,I)

1.1.c.(1) Creating & Environment for Success KYARNG Senior Leaders create an environment for success now and in the future thru the strategic

planning processes (Figs. 2.1.a.(1).1 & 2.1.a.(1).2). (A-O,D,I)

1.1.c.(2) Creating a Focus on Action KYNG Senior Leaders create a focus on action that will achieve the organization’s mission thru the

unit training process (Fig. 6.2.a.2), QRB sub-process, and OPORD / FRAGO processes (Figs. 2.2.a.(2).1 & 2.2.a.(2).2). (A-M,D,I)

1.2 Governance & Societal Responsibilities 1.2.a.(1) Governance System

The KYARNG is a hierarchy with The Adjutant General (TAG), at the top. TAG exercises operational control through the Assistant Adjutant General - Army (ATAG-A). The inspection process (Fig. 6.1.b.(3)) checks the governance system. KYARNG also receives internal and external audits (Fig. 1.2.a.(1).1) to ensure senior leader and fiscal accountability. To ensure senior leader accountability, TAG performance is evaluated by the Governor. Federal Technicians are evaluated in the Technician Appraisal System. All military positions are evaluated using the G1 evaluations sub-process of the workforce engagement and development process (Fig. 5.2.a.(2)). The United States Property and Fiscal Officer (USPFO) for Kentucky provides governance of property & fiscal operations. The USPFO uses USPFO internal review process (Fig. 1.2.a.(1).1), the USPFO payroll process (Fig. 1.2.a.(1).2), and the USPFO logistics process (Fig. 1.2.a.(1).13) to ensure accountability for property, equipment and funds. The priorities are 1) payroll 2) budget execution 3) cooperative agreement 4) internal control 5) contracting 6) installation logistics. The PBAC process (Fig. 6.2.a.1) provides transparency for the expenditure of funds in meeting operational requirements across the width and depth of the organization. (A-M,D,I)

Fig. 1.2.a(1).1

Suppliers Inputs Process Outputs Customers

USPFO - Internal Review

KY Elements

TAG

CoS

DA

NGB

Congress

DHS

FORSCOM

1st Army

KY-GOV

External guidance

Internal guidance

Legal & regulatory requirements

Training requirements

Fiscal law training

External audit schedule (AAA, DoD-IG, FEMA,

1st Army, KY-State auditors)

Internal audit results (Self-assessment, IR,

MICP, Imbedded systems controls)

Previous evaluation results

Annual audit plan

Training plan (Fiscal law, ethics,

GPC, GTC, Cooperative agrement)

By individual appointments

TAG

NGB

Congress

KEY Metrics:IR compliance

# Individual training

requirements divided by #

trained

Review risk assessment

TAG approval?

Review internal & external

requirements

Start

Develop prioritized plan

End

Execute plan

Yes

No

Update identified risk

Conduct audit Report findings Track remediation

Report status to SMC

Conduct follow-up

3

Fig. 1.a.(2).2

Fig. 1.a.(2).3 1.2.a.(2) Performance Evaluation

As a military organization, KYARNG workforce performance evaluations do not directly affect basic compensation. However, the evaluations sub-process of the workforce engagement and development process (Fig. 5.2.a.(2)) is integrated into the retention, promotion, and assignment sub-processes which do affect compensation related to promotions. Retention, promotion, and assignment boards are appointed by TAG. Technician pay is not directly affected by their evaluation, however, an exceptional evaluation may make them eligible to receive a bonus. (A-M,D,I)


USPFO - Payroll

Congress

Contracts

Timesheets

Vouchers

MTOE/TDA

Facility usage

Units

Directors

External guidance (DA, NGB, FORSCOM)

Budget (authorization & appropriation)

Internal guidance (TAG, strat priorities, ATAG,

CoS)


Documentation

Systems of record (MyUnitPay, WAWF,

DCPDS, JUSTIS, GFEBS, DTS, AXOL, SIB-X)


Expenditures

Payroll

Unit pay reports

Workforce (Traditional &

FTS)

Vendors

KEY Metrics:

Execution rate

Compliance

Obligate

Dispense

Budget

Start

Expense

EndValidation


USPFO - Logistics

TAG

DA

NGB

Budget

Authorization

NGB Item managers

DST

Contracting services

Goods

Services

Transportation

Meals

Clothing

TAG

Units

Soldiers

Key Metrics:CIF discharge

report

CIF accountability

Excess report

Gain authorizations

Prioritize requests

Review documents

Start

Receive funding

End

Develop plan Execute plan

4

1.2.b.(1) Legal & Regulatory Compliance The KYARNG legal and regulatory behavior is governed by regulation. The Office of the Staff

Judge Advocate (OSJA) contributes to KYARNG readiness in six key functional areas: 1) administrative and civil law 2) claims 3) contract and fiscal law 4) international and operational law 5) legal assistance and 6) military justice. The process OSJA uses to ensure agency compliance with law and regulation (Fig. 1.2.b.(1). The PAO complaint & query process (Fig. 1.2.c.(2)) is the means by which we receive, staff, and respond to public concerns and complaints. The Inspector general addresses internally generated complaints. (A-M,D,L,I)

Fig. 1.2.b.(1) 1.2.b.(2) Ethical Behavior

The KYARNG ethical behavior is governed by the Joint Ethics Regulation (JER) as well as state ethics law. TAG has made promoting ethical behavior a priority and has appointed ethics counselors to address three areas: 1) written ethics opinions 2) ethics training 3) assistance in complying with ethics law and regulation. KYARNG has three ethics counselors who provide written opinions on compliance with JER and applicable regulation, upon request. An ethics counselor is present at each key leader calendar scrub to spot issues that may require an ethics opinion. The ethics counselors provide training to new supervisors, as well as to any with an annual ethics training requirement. Ethics counselors also assist with filing requirements for those who have disclosure requirements to prevent conflicts of interest. (A-O,D,I)

1.2.c.(1) Societal Well-Being KYARNG uses processes identified in regulation to address environmental impact and responsible

stewardship to promote societal well-being. AR 200-1 implements federal state and local environmental laws to 1) preserve 2) protect 3) conserve and 4) restore the quality of the environment. The KYARNG responds to congressional and governor’s inquiries within seven days. (A-O,D,I)


OSJA-Agency Compliance

TAG

NGB

Congress

Ky Legislature

DoD

DA

Facts

Federal law

State Law

Regulations

Directives

Instructions

Policies

Past practice, case law, executive order

Research

Review

Written opinion, counsel, advice, legal assistance

1) TAG2) USPFO

3) Directorates and S staff4) Soldiers

5) NGB, DOJ, KYAG, Ft Knox, Ft

Campbell, Reserve

Component

Provide recommendation

Receive request

Start

Research governing authorities

End

Carry out selected COA

Track progress

Provide opinion

Analyze fact pattern

No

Yes

Written recommendation?

Conduct review

Assess results

5

1.2.c.(2) Community Support KYARNG actively supports and strengthens communities because KYARNG workforce may also be

end users of our product, and come from our communities in the Commonwealth. In times of need, whether by natural disaster or other circumstance, we support our key communities. The Public Affairs Office is a conduit for a variety of community support requests. The PAO complaint & query process (Fig. 1.2.c.(2)) is the means by which we receive requests to support communities for planned (non-emergency or disaster) events. (A-M,D,L,I)

Fig. 1.2.c.(2)

Category 2 – Strategy 2.1 Strategy Development 2.1.a.(1) Strategic Planning Process

KYARNG conducts strategic planning in two KEY steps: (1) annually, or as necessary, Kentucky Senior Steering Committee (SSC) evaluates metric-based readiness results and updates mission and vision. SSC then conducts an environmental scan using the PESTEL model, resulting in prioritized Lines of Effort (LOEs), including transformational or prioritized change initiatives (Fig. 2.1.a.(1).1.); and (2) KYARNG Strategic Planning Committee (SPC), consisting of 17 commanders and staff officers, further develops the strategic plan with short- and long-term objectives and lag indicators in support of SSC LOEs, action plans and scorecard metrics in SMS. (Fig. 2.1.a.(1).2.) (A-M,D,I)

Learning Vignette (L): Using the process evaluation system (Fig. 4.1.a.(4)), we identified a gap in strategic planning process. As a result, we implemented the SSC process.


PAO Complaint & Query Process

External requestor

KYARNG

NGB

KY-GOV

DoD

DA

External guidance

Internal guidance

Core competencies



Complaint / Query

Access to available & timely information

Information

Resolution

Support

TAG

KY-GOV

State (Stakeholder)

Non-DoD Federal

Key Metrics:# positive v. #

negative

# FB likes

# trend

# inquiries

# positive press releases v. #

negative press releases

Receive guidance

Notify chain of command

Monitor information

sources (internal & external)

Start

Receive a complaint /

query

End

Notify Governor’s

office

External notification required?

Notify NGB

Staffing required?

Develop response

Yes

No

Yes

Gather information

No

Yes

Command approves?

No

Yes

External notification

Execute decision

Monitor

AAR Process

AAR Results

Prepare subsequent

COA’s

6

Fig. 2.1.a.(1).1.

Fig. 2.1.a.(1).2.

Suppliers Inputs Process Outputs CustomersSenior Steering Committee

DA

FORSCOM

NGB

KY-GOV

External guidance (DA, NGB, FORSCOM, KY-

GOV)

Core competencies



Mission

Vision

Values

PESTEL results

Lines of Effort (LOE's)

LOE Objectives

Strategic Planning

Committee

Start

End

Command Group & CoS review

outside sources, & previous evaluations

Confirm customers

(Federal & State)

Confirm customer requirements

Accept / revise mission

Accept / revise vision

Conduct KYNG environmental scan (PESTEL)

Identify priority issues (lines of effort (LOEs))

Provide MVV, LOEs & scan results to KYARNG

SPC

Evaluate resultsEvaluate process

Suppliers Inputs Process Outputs CustomersStrategic Planning Committee

DA

FORSCOM

NGB

KY-GOV


GOV)

Internal guidance (SSC results)

Core competencies



Metrics aligned with LOE

objectives

Workforce

Stakeholders

Customers

Start

End

Review outside sources, previous

evaluation, & inputs from SSC

Conduct KYARNG internal scan

Compare results with SSC PESTEL

results

CoS reports gaps to TAG \ SSC

ID objectives ID & define metrics

Deploy action plans thru FRAGO

processUpdate SMS

Evaluate results

Do gaps exist?

Gaps considered & scan results

addressedEvaluate process

TAG appoints SPC

Yes

No

7

Short- and long-term planning horizons are

identified in Figure 2.1.a.(1).3.

2.1.a.(2) Innovation KYARNG stimulates and promotes innovation

through a six-step process: (1) Metric owners compare performance to other ARNG states and identify top performers; (2) Evaluate their action plans against those top performers; (3) Revise KYARNG action plans; (4) Implement revised action plans; (5) Evaluate results; and (6) Evaluate process.

KY Recruiting & Retention Battalion (RRB) promulgated the concept of training relationship violence awareness via OneLove and received the NGB awarded Prevention Innovation Award.

KYARNG identifies strategic opportunities during step seven of the strategic planning process, SWOT analysis. These are evaluated to identify the required resources, and potential return. If the SPC analysis identifies alignment with the existing LOEs, they are presented to TAG for approval and subsequent action plan development.

The top four KYARNG strategic opportunities are: (1) State and Federal political influence; (2) Tuition assistance and education opportunities; (3) Diversity and (4) State Partnership Engagements with Djibouti and Ecuador. (A-M,D,I)

2.1.a.(3) Strategy Considerations Quarterly, KYARNG collects and analyzes fact-

based readiness reports from FORSCOM/NGB which adjusts business methods and short-term objectives, as directed by SSC during QRBs. Directors and branch chiefs consistently engage NGB to reduce potential OE blind-spots, such as political dialogues affecting force structure. We leverage outside groups, such as Baldrige examiners, to provide a review of our processes and results. (A-O-D,I)

2.1.a.(4) Work Systems & Core Competencies KYARNG key work systems are: (1) Recruiting; (2)

Sustaining; (3) Training; (4) Retaining; and (5) Product Delivery. KYARNG core competencies (Personnel Readiness, Training Readiness, and Logistics Readiness) directly relate to both work systems and customer needs as outlined in the Organizational Profile. (A-O,D,I)

2.1.b.(1) Key Strategic Objectives KYARNG Lines of Effort and Objectives that achieve the GOAL of Soldier readiness are:

(1) Qualified, Confident & Fit Soldiers & Airmen – Decisive Effort (1-3 years) (Priority). (1.a.) Qualified: MOS/AFSC proficiency, individual weapon proficiency, and professional military & civilian education. (1.b.) Confident in self, leadership, and organization. (1.c.) Fit physically, mentally, and spiritually.

(2) Unit Readiness – Shaping Effort (3-5 years). (2.a.) Trained units – Priority. (2.b.) Equipped units. (2.c.) Commanders and staff proficient in Mission Command.

(1) Attend NGB, DA & Other Events to

Gather Data(2) Data Analysis

(3) Information Sharing

(4.a) Immediate action plan update –regulatory change or

Opportunities / Threats Change

(4.b) Incorporate in next SWOT Analysis

Strategic Planning Cycle Fig. 2.1.a.(3)

Work System Short Term Long TermRecruiting 1 year 3 yearsTraining 1 year 3 yearsSustaining 1 year 3 yearsRetaining 1 year 3 yearsSustaining (Force Structure) 1 year 5 yearsSustaining (Facilities) 5 years 20 years

Planning Horizons

Fig.2.1.a.(1).3.

8

(3) Relevance – Sustaining Effort. (3.a.) External force management (force structure) (3-5 years). (3.b.) Internal force management (stationing) (3-5 years). (3.c.) Responsible stewardship (1-3 years).

(4) Community Connections – Sustaining Effort (1-3 years). (4.a.) Employed. (4.b.) Involved. (4.c.) Resilient.

KYARNG forecasts no KEY changes in products or suppliers. The following are examples of support to our Federal customer: 1) 2123rd TC Unit Association Program (UAP) with 101st Airborne Division (AA) provides immediate readiness feedback for FORSCOM; and 2) KYARNG support to USAREUR ODTs and participation in the State Partnership for Peace (SPP) Program with both Djibouti and Ecuador allows closer ties with AFRICOM and SOUTHCOM. In support of our State customer, KYARNG maintains a close affiliation with Kentucky Emergency Management (KYEM) via JOC location and consistent Civil Support planning sessions. (A-M,D,L,I)

2.1.b.(2) Strategic Objective Considerations KYARNG senior leadership, to include staff and MSC commanders, meet monthly to review LOE

resourcing using a seven step process: (1) Review LOEs and supporting objectives’ progress; (2) identify trends; (3) review customer requests and KEY stakeholder friction points; (4) reprioritize resources; (5) update action plans; (6) evaluate results; and (7) evaluate process.

SPC noted a KEY strategic advantage in Kentucky’s unique geographical location with its proximity to (1) approximately 60% of the US population, and (2) the Gulf Coast, Eastern Seaboard and Great Lakes Region. (A-O,D,I)

2.2 Strategy Implementation 2.2.a.(1) Action Plans

KEY Action Plans directly support LOEs (1) Qualified, Confident & Fit Soldiers & Airmen – Decisive Effort (Priority); (2) Unit Readiness – Shaping Effort; (3) Relevance – Sustaining Effort; and (4) Community Connections – Sustaining Effort. (A-M,D,I)

2.2.a.(2) Action Plan Implementation KYARNG deploys action plans using the below OPORD and FRAGO process (Figs. 2.2.a.(2).1 &

2.2.a.(2).2). The annual OPORD establishes the fiscal year’s baseline operational, and administrative requirements for the KYARNG units. The FRAGO process addresses bi-weekly updates based on revised guidance, new requirements, or changes in resources. (A-M,D,I)

9

Fig. 2.1.a.(1).

Fig. 2.1.a.(1).2

Suppliers Inputs Process Outputs CustomersBase Operations Order

DoD

HQDA

FORSCOM

1st Army

NGB

TAG

Directors

MSC's

Doctrinal & regulatory updates

NGB base guidance

Program requirements

TAG priorities

KYARNG strategic plans

MSC requests

Ready unit

Work plans

Synch matrix

Regulatory compliance

Unit Cdrs

Workforce

State

Key metrics:Published on

time (Y/N)

Missed tasks (size of 1st FRAGO)Review

internal guidance

Receive TAG guidance

Start

Receive NGB funding

guidance

End

Receive unfunded

requirements from MSC’s

Conduct sync meeting

Publish base order

Receive NGB base guidance

Review other external guidance

Conduct mission

analysis within directorates

Receive feedback from

MSC’s

Suppliers Inputs Process Outputs CustomersFRAGO

HQDA

FORSCOM

NGB

TAG

Directors

MSC's

Regulatory changes

Policy changes

NGB supplemental guidance

TAG directives

Resource changes

Base OPORD

Cdr or director initiatives

Ready unit

Administrtive & supporting tasks

Work plans adjustments

Synch matrix

Regulatory compliance

State response support

Unit Cdrs

Workforce

State

Key metric:# internally generated

requirements within 30 days of

executionConduct sync

meeting

Base OPORD process

Start

Review

End

Update state sync matrix

Receive supplementary

guidance

Receive cut sheets

Publish FRAGO

10

2.2.a.(3) Resource Allocation KYARNG ensures Federal resources are available and allocated to support action plans through a 6-

step process (FORSCOM customer): (1) TAG approves following FY Unit Training Plans during 1st QTR; (2) MSCs and directorates submit following year requirements to appropriate Program Managers during 2nd and 3rd QTRs; (3) Program Managers review, validate and submit requests to NGB based on approved (UTP) requirements NLT 4th QTR; (4) Program managers allocate resources based on funding levels to support annual action plans; (5) KYARNG conducts quarterly Program Budget Advisory Committee (PBAC) to reallocate resources based on LOEs; and (6) Program Managers, Activity Directors and Budget Analysts use GFEBS management processes to mitigate fiscal risk.

State resources are managed and allocated in a different manner. (1) The Commonwealth releases its budget on 1 July, annually. (2) The KYARNG reviews / edits its 4-5 primary Gubernatorial Executive Orders that require KYARNG resource expenditure and requests approval from the Office of the Governor. (3) Military Support Office approves Mission Tasking Orders (MTOs) to support KYEM requests that fall within the Executive Orders and make prudent budgetary decisions. (4) Units submit mission required reports leading to MSO submission of payroll, while KYARNG USP&FO submits reimbursement request to Commonwealth for equipment usage. (5) MSO provides both daily and end of mission financial estimates to KYEM and KYARNG leadership as an iterative review. This process is reviewed annually by the Director of Military Support. (A-M,D,L,I)

2.2.a.(4) Workforce Plans KYARNG KEY WORKFORCE plans are identified in Profile Fig. P.2.c.2 and are ALIGNED with

KEY Work Processes which support short- and long-term LOE’s. (A-M,D,I)

2.2.a.(5) Performance Measures The KYARNG KEY PERFORMANCE MEASURES (KPM) are identified in in Profile Fig. P.2.c.1.

and are ALIGNED with KEY Work Processes. Each KPM is assigned to a director or MSC commander for action plan development. (A-M,D,I)

2.2.a.(6) Performance Projections KYARNG currently makes fact-based projections in the following areas: (1) Unit readiness levels

(quarterly) per USR and UAT; (2) End strength goals (monthly) per Recruiting & Retention Battalion, G1 and HRO; (3) Budget performance (quarterly) by execution rates and training plans; (4) Equipment readiness (monthly) per AMSS; and (5) Historical MSO mission requests. Additionally, through the use of the SMS, we are able to effectively project metric performance one to three periods out. (A-M,D,I)

2.2.b. Action Plan Modification KYARNG requires action plan owners to modify internally as circumstances require to meet

regulatory or other changes. Modification to work priorities and additional task requirements that have cross-directorate or MSC impacts are published through the FRAGO process (Fig. 2.2.a.(2).2). (A-M,D,I)

Category 3 – Customers 3.1 Voice of the Customer 3.1.a.(1) Current Customers

KYARNG uses the Army sourcing process as our primary process for listening to, interacting with, and observing the federal customer to obtain actionable information. Figure 3.1 shows how we listen to the Federal Customer throughout the sourcing cycle. Key Leader Engagement during this process are also critical to listening to the voice of our federal customer. Active involvement in the sourcing process also ensures customer engagement.

Step 1: DA-G3 Sync – KYARNG G3-FIRO attends the annual DA-G3 sourcing conference which begins DA’s annual sourcing process. The Federal Customer views unit specific metrics such as

11

USR/UAT Data, Unit “Available” year, and current dwell time to identify possible units to be sourced, of “Soft Source”. The primary method of listening is through Key Leader Engagements between KYARNG, NGB, and DA senior leadership. G3-FIRO can identify potential missions and refine the KYARNG understanding of the customer’s needs.

Step 2: FORSCOM and NGB conduct subsequent sourcing conferences to determine which units will be sourced. The federal customer will provide a formal notice of the final decision in the form of a Notice of Sourcing (NOS), which also refines the details of the Ready Relevant force required by providing the number of personnel required, Specific information on authorized equipment, Mission specifics such as location and time period, and funding guidance. KYARNG leadership does not directly participate in these events, however Senior Leaders continue to communicate with counterparts at NGB.

Step 3: Joint Assessment (JA) is conducted prior to unit mobilization in order to refine the requirements of Ready Relevant Forces. G3-FIRO, Key SL Staff, and unit leaders or representatives attend the assessment. KYARNG further refines the customer’s needs, and proposes Pre- and Post- mobilization training plans to meet the customer needs. The primary means of listening is done by KYARNG staff members, who engage the customer to gather unit and mission specific requirements, and develop training plans to meet the customer’s expectations.

Step 4-5: Customer requirements for training and readiness are assessed by KYARNG during Pre-Mobilization training events. Validation is conducted by the KYARNG Pre-Mobilization Training Assessment Team with approval by TAG. Progress and results are submitted to the 1st Army (Federal Customer Agent) for review and acceptance. The customer may also attend Pre-deployment training events.

12

Step 6-7: Post-Mobilization training is conducted at a site provided by the Federal Customer. 1st Army conducts and approves all validation of the training and readiness of the Ready Relevant Unit. This is our product, delivered. Post-Deployment Training si the final check and refinement on the quality of the ready Relevant Force we provide. Any shortfalls in Personnel, training, Equipment, or readiness is addressed as they occur and corrected if they fall outside the customer’s minimal requirements. Primary listening and engagement are done between the unit and the 1st Army Training organization at the Mobilization Station. KYARNG continues to provide support and administration to the unit in order to ensure the unit meets all customer requirements prior to mobilization.

For the State customer, TAG and DOMS are the primary liaisons. TAG is a member of the Governor’s staff, and the DOMS is co-located with the Office of Emergency Management.

TAG, as part of the Governor’s staff, routinely conducts direct engagements with the Governor to continually ensure the KYARNG is meeting expectations. The DOMS utilizes four mediums to actively listen to the voice of the customer. The primary method of listening is face to face interaction with various elements of Kentucky Emergency Management (KYEM). Deliberate planning sessions are conducted, as well as ad hoc coordination. WebEOC is a web based communication suite utilized between the DOMS and KYEM to provide a common operating picture and resource management of responses in real time.

DOMS tracks all State Active Duty (SAD) missions via a spreadsheet. The information is used to determine types of missions needed and KYARNG’s capability to meet them. Results are utilized as a part of the advisory package development. After action reviews with KYEM officials and supporting units are conducted after all events, in order to listen to the customer’s needs, and evaluate the overall response.

Social media is not an appropriate media for discussion of USR metrics used to “listen” to customer expectations. However, USR data is shared on the SiPRnet through the NetUSR application and GKO-S sharing and email services. KYARNG has a web presence on state.nationalguard.com, DODlive.mil, and Facebook which provide contact information to the customer’s agents if needed. These sites are monitored by the Public affairs Office for accuracy and appropriate content. (A-M,D,L,I)

3.1.a.(2) Potential Customers Potential Customers for KYARNG are limited by federal law. However, we are able seek out new

opportunities to serve the current customers in the form of missions.

Listening to potential customers to obtain actionable information with the federal customer is inherent in the sourcing process (Fig. 3.1.a.(1)). During step one of the listening process, KYARNG Senior Leaders are seeking new opportunities to provide Ready Relevant Forces. KYARNG Senior Leaders conduct Key Leader Engagements with NGB to discuss current and future force structure and readiness of the KYARNG. “Potential Federal Customers” include Emergent the State Partnership Program.

Between 2012 and 2016 the KYARNG State Partnership Program (SPP) strategic partnering initiatives focused on sustainment and expansion of events with our sole partner nation of Ecuador, as well as seeking additional opportunities within the US Southern Command Area of Responsibility (AOR). Senior Leaders determined the continued deterioration of the US diplomatic relations with the Government of Ecuador severely limited engagement opportunities and they shifted Kentucky's focus to seeking an additional partnership. Analysis indicated the DoD security cooperation strategy began to shift toward Africa and the Pacific, KYARNG began the background preparation and research for a potential partnership in US Africa Command. As a result, KYARNG was awarded an additional State Partnership with the Republic of Djibouti.

Potential state customers would request assistance through the Department of Emergency Management. (A-M,D,I)

13

3.1.b.(1) Satisfaction, Dissatisfaction, & Engagement KYARNG’s

primary process for determining customer satisfaction is the Unit Status Report (USR) process directed by the federal customer (See Figure 3.2). Satisfaction reporting is also inherent in the sourcing and SRM processes which use USR and UAT metrics (See figure 3.1). These unit level metrics are monitored quarterly by KYARNG, NGB, and DA Senior Leadership in order to revise Senior Leader guidance.

Step one: Senior Leaders provide input concerning critical units and prioritized resourcing.

Step Two: BDE and BN staff members validate USR data shown in NetUSR. NetUSR provides a source of reference for the customer and KYARNG, but relies on data drawn from other systems. Subject matter experts from all primary staff offices review the data with data from other systems to ensure NetUSR is accurate.

Step Three: BDE staff, State staff, and the Force Integration and Readiness Officer (FIRO) conduct a joint review of all data to ensure data accuracy and to capture issues presented in the data or by the unit commanders.

Step Four: The quarterly USR briefing is conducted during Quarterly Readiness Briefing (QRB) to the Senior Leaders.

NetUSR / UAT: Net USR and UAT provide common systems of managing metrics throughout the sourcing process.

SRC Ranking: Based on UAT metrics, the Federal Customer produces an annual ranking, by Standard Requirements Code (SRC), which identifies organizations of similar structure and mission. This list is used by the customer to select ready, relevant Forces.

Fig. 3.1.b.(1).1

14

Fig. 3.1.b.(1).2 (A-M,D,L,I) 3.1.b.(2) Satisfaction Relative to Competitors KYARNG obtains information on the federal customer satisfaction relative to other organizations throughout the sourcing process (Fig. 3.1.a.(1)), and from the SRC listing from UAT (Fig. 3.1.b.(1).1). Comparison of all ready relevant forces is inherent in the sourcing process, and the SRC listing provides a ranking of all ready relevant forces available to the federal customer, ranked by performance metrics selected by the customer. This provides KYARNG a direct look at what the customer has determined are the top ready relevant forces available. It also provides Senior Leaders insight into what the organization needs to prioritize in order to better meet the customer’s needs. UAT also provides access to metrics used by the customer to leaders throughout KYARNG for use when making decisions that affect readiness.

KYARNG competition for the state customer is limited by federal law. For other than emergency response, if a non-governmental agency provides a service needed by the state, the state is required to use the non-governmental agency. It is also unlikely that the state Government will request aide from another state for services provided by KYARNG. (A-M,D,I)

3.2 Customer Engagement 3.2.a.(1) Product Offerings

The KYARNG determines its product offering by performing the nine step Force Structure Strategic Plan (FSSP) process that begins with receipt of the CPLAN from NGB ARNG-Force Management 2) JFHQ-J3 formulates intent 3) J3-FIRO reviews documents 4) J3-FIRO performs Gap analysis 5) JFHQ-J3 holds a FSSP Working Group whereby the J3, J3 deputy, J3T, FIRO, MRO Chief, Program Analyst and MRO deputy attend and provide inputs as to what information should be included, what structure should be requested and what should be omitted. 6) FIRO validates readiness levels 7) Prepare the FSSP documents 8) Briefed to the TAG and he signs the FSSP 9) Deliver to NGB ARNG-FMF Deputy. (A-M,D,I)

Suppliers Inputs Process Outputs CustomersPlanned State Active Duty

KY-GOV

State Legislature

Congress

DA

TAG

Legal & regulatory

requirements

External guidance

Internal guidance

Special guidance

Executive orders

Performance standards

MTOE/TDA

Personnel

Equipment

Request

Tailored response capability

Internal-KY:KY-GOV

NGO

External-KY

Key metrics:#Requests actioned / #accepted

#mandays

Receive PAO approved request

Start

Notify unit

End

Unit submits reports at the conclusion of the mission

Unit submits daily reports

ID supporting unit

Unit accepts mission?

Produce mission tasking

order

No

Yes

Unit executes mission

Complex mission?

No

Yes

Unit conducts AAR

In progress reviews

Unit executes mission

DOMOPS submits reports

& payMSO level AAR

15

Learning vignette (L). The JFHQ-J3 was not utilizing a formal process evaluation other than AAR's. But a recent change in Directors introduced a change in the way the Force Structure Strategic Plan (FSSP) is produced. G3 saw an opportunity to improve the FSSP and introduced a FSSP working Group. The outcome of this innovative change was that it afforded everyone in the shop an opportunity to play a role in the creation of the FSSP. The group included Engineers, Artillerymen, Logistics Officers, administrative personnel, and Military Police; as well as different ranks (SFC, CW3, MAJ, LTC, COL), the diversity of the group was instrumental in acquiring the necessary feedback for facilitating of decision making. For example the G3 allowed each constituent to voice and justify their concerns/opinions which helped generate a group consensus. Additionally, the WG construct assisted with the prioritization of the requests. The WG also recommended keeping the request for structure as general as possible in the event of a force structure gain, Kentucky would be a viable option regardless of the type.

KYARNG determines product offering utilizing a five step process that begins with a review of ethics and economical regulation, Unit MTOE/TDA, historical mission requests, usage data and AAR's. This review provides relevant information on new or current products. (2) J5 actively scan customer operating environment IOT gain actionable information for product development. (3) J5 compiles the information gained in steps one and two leading to a decision did the information lead to the discovery of a new product or where current products improved or determined obsolete. If yes go to step four: Product is determined new, to be improved or to be eliminated and details sent to TAG for approval. If No go back to Step one: The Process is repeated when significant changes occur in KYARNG Force structure or a needs request, unique by nature, is received. (4) TAG approves the products as is or directs changes in the product. If approval is denied go to step one saving the product information and data for use in subsequent product offering workshops. (5) In the final step the G5 adds the product to the mission set and briefed to our State Customer at the quarterly Capabilities meetings and annually during the All Hazards Conference. (A-M,D,I)

3.2.a.(2) Customer Support The KYARNG enables its Federal customer to seek information and support by performing the

following steps. The process begins with the unit fulltime personnel, commanders, staff directors performing key work processes involved in personnel, training, and equipment readiness; and recruiting. (2) The information is collected, validated and input into various systems of record managed by directors (3) MSC’s compile the information quarterly and initiate the USR process which provides the Federal Customer with the ability to gain information on the KYARNG product a READY FORCE.

The KYARNG enables its State customer to seek information and support by performing the following steps. The process begins with the G5 1) Reviewing documents and Gather capabilities info 2)Prepare Brief 3)Schedule Brief 4) Conduct briefing 5) field questions 6) AAR. During the Kentucky Emergency Managers conference the following process is executed 1) G5 and EM Directors Assess needs and identify gaps 2) Perform Action plan process resulted in co-locating the KY JOC and the Commonwealth's EOC to enhance liaison between JOC and EOC also provided Space for all Emergency Support functions 3) plan and schedule training exercises 4) AAR. (A-M,D,L,I)

16

3.2.b.(1) Relationship Management

Fig. 3.2.b.(1) (A-M,D,L,I)

3.2.b.(2) Complaint Management The KYARNG uses the PAO complaint & query process (Fig. 1.2.c.(2)) for complaints arising from

state active duty missions. (A-M,D,L,I)


TAG Calls

FIRO calls, emails and meets with specific NGB SRC Organizational Integrators (OI) who help to correct MTOE/TDA errors, adjust effective dates and can be Kentucky's point of influence as it pertains to where future force structure may be stationed

Collaborative Relationship FORSCOM

J3, FIRO Emails

Example of a benefit received from building and managing the OI relationship was the 14 MP companies that were recently divested , KY was able to extend the inactivation by 1 year in the hopes that HQDA may decide to convert it. Had FIRO not worked directly with our OI, we may have been overlooked.

Strategic Alliance

Governor of Kentucky

J5 Visits FIRO visits NGB HQ's at least quarterly and sits down with each OI as well as every Systems integrator and RMQ section.

Partnership NGB

NGB Force Management Meeting

FIRO attends Force Management meeting between the the G3 Deputy and ARNG-FM Branch Chief. This meeting provides the face of Kentucky's Force Structure Strategic Plan.

Process Provider

NGO's

FORSCOM & ARSTAF

Resourcing Panels FIRO attends the G3 Sync at PEC in order to gain and provide actionable information.

Governor Annual G3 SYNC & Pre-Command Course

Deliberate, periodic contact with KY Emergency Management, Governors office, LMPD, FBI, KSP, KDOT to name a few.

Collaborative Relationship

Governor of Kentucky

KY EM management

Annual All Hazards Conference

Pre-event contact with customers enables listening and allows us to provide and gain actionable information

Strategic Alliance

NGB

NGO'sCapabilities Briefs

w/Local Emergency Planning Committee

customize the information gained through pre-event contact. This allows us to provide customers with relevant information during meetings and conferences

Partnership NGO's

Law enforcement

Annual Planning, Operations and

Training Conference

Provide State leadership the following information annually: Number of Military Funeral Honors conducted, Number of State Active Duty missions, dollar amount spent on SAD missions, number of Mandays used to execute SAD mission, number of high profile SAD missions.

Process Provider

CUSTOMER RELATIONSHIPS 3.2.b(1) How do we build and manage CUSTOMER relationships

J5 DOMESTIC OPERATIONS: Relationship building and managing process

J3 OPS & PLANNING: Relationship building and managing process

17

Category 4 – Measurement, Analysis, & Knowledge Management 4.1 Measurement, Analysis, & Improvement of Organizational Performance 4.1.a.(1) Performance Measures

The KYARNG mission to provide relevant, ready forces coupled with the vision to be the premier unit based force of citizen Soldiers shapes data selection criteria. The Unit Status Report (USR) and the Unit Assessment Tool (UAT) are the primary means to measure performance. The KYARNG Readiness Cycle (Fig. 4.1a(1)) illustrates the repeated relationship amongst the readiness data, the strategic plan, and the operational reports that measure effectiveness.

Priority efforts identified in the strategic plan drive the integration of processes to ensure operational alignment down to the lowest level. KYNG Regulation and Base Operations Orders (BASE ORD) direct recruiting and training initiatives. Organizational reports (USR, UAT and Program Budget Advisory Council (PBAC)) are assessed at the Quarterly Readiness Brief (QRB) and Yearly Training Brief (YTB). Consequently, necessary adjustments to organizational readiness are directed through regulation, policy, and military orders. Funds management is key for achieving the priority of improving readiness. During budget meetings, purchases are selected based on the KYARNG LOE’s. (A-M,D,I)

Learning Vignette (L): Through focused quarterly PBAC meetings the KYARNG identifies additional shortfalls and reallocates available funds towards strategic objectives. The organization has achieved a 99.39% funds execution rate across our main 2060 and 2065 accounts between 2012 and 2016; exceeding the industry standard of 99%. We align financial priorities with strategic objectives as evidenced by our competitive standing in duty MOS qualified Soldiers and achievement of end strength numbers over eleven consecutive years.

The 90 Day Operational Cycle (Fig. 4.1b) provides a quarterly snapshot of key measurements of performance. Trends and gap analysis shape general officer guidance and is pushed to subordinate leaders during this process. These events promote bottom up innovation by involving the unit leaders and making them owners of the data. The operational cycle is reviewed annually by the G3 and Deputy G3 to ensure procedures and systems remain relevant within the annual readiness cycle shown (Fig. 4.1a (1)).

4.1.a.(2) Comparative Data KYARNG G3 owns the USR process. The directorate reviews training, personnel, and equipment

readiness of each AA entity. Additionally, the G3 ensures commander’s comments address gaps that impact TAG lines of effort. USR reporting is the industry standard for assessing organizational readiness.

Within the G3, the Mobilization Readiness Office (MRO) pulls, analyzes and compares KYARNG organizational UAT reports against NGB goals or industry standards. To further analyze process effectiveness and organizational performance results are benchmarked against best in class organizations. The comparison assists to ensure lines of effort are accurate and unit readiness is focused on relevant issues.

G1 utilizes Director’s Personnel Readiness Overview (DPRO) reports to gather personnel and operational readiness standards from top performing organizations. Key leaders use this comparative data to associate trends and measure KY performance. We seek frequent input from top-performing organizations to

Fig. 4.1.a.(1)

18

adopt best practices and refine KYARNG processes. (A-O,D,L,I)

4.1.a.(3) Customer Data The primary identified customers for the KYARNG are the Governor for state missions and

FORSCOM for federal missions.

State organizations request KYARNG support within the executive orders established by the Governor’s office. The internal process includes the following key steps (Fig. 3.1.b.(1).2):

1. Support requested through Public Affairs Office (PAO) and nested within state executive orders. 2. Joint planning and collaboration between supported organization, the Joint Operations Center

(JOC), and the supporting unit. 3. Execution in accordance with Defense Support of Civil Authorities (DSCA) standard operating

procedure (SOP). 4. Feedback of event received through supporting unit in accordance with DSCA SOP. 5. Review and analysis of feedback by JOC leadership and refinement to improve customer

experience and support operations. (A-M,D,L,I) Feedback maintained by G5 leadership and applicable information disseminated to subordinate units

for use in the preparation of future missions.

Fig. 4.1.a(3)

Suppliers Inputs Process Outputs CustomersMobilization

DA

FORSCOM

COCOMs

1st Army

TAG

Legal & regulatory

requirements

External guidance

Internal guidance

Request for Forces

Force structure

Ready year units


Ready unit FORSCOM

COCOM

Key Metrics:USR(T)

Initial planning conference

Receive soft NOS

Start

Inform chain of command

End

Assess

Evaluate results

Evaluate process

Conduct initial analysis

Receive formal NOS

Review

Accept mission

No

Yes

Execute In-progress reviews

1st Army JA process

19

4.1.a.(4) Measurement Agility

Fig. 4.1.a(4)

The KYARNG leadership utilizes the process evaluation system to adapt to and integrate organizational changes (reference figure 4.1.a.(4)). Senior leaders maintain active involvement in national level leader conferences and chair committees while ensuring frequent communication with industry leadership. Insight to the organizational way ahead gained through national conferences are staffed by KY directorates and infused in data collection measures and daily practices through state conferences, workshops, and working groups. Recently, the 420A collaboration workshop was stood up. This cohort gathers subject matter experts on personnel and readiness from across the state to analyze performance. In conjunction, these experts conduct policy reviews, process examination, and systems assessments. The outputs of the workshop are disseminated to directorates and MSC’s. (A-M,D,L,I)

4.1.b. Performance Analysis & Review The KYARNG reviews and analyzes performance at the organizational level of the Readiness Cycle

(Fig. 4.1.a.(1)). The 90 day Operational Cycle (Fig. 4.1.b) illustrates the quarterly process leadership has established to review results, analyze performance and offer relevant guidance to drive organizational priorities.

• Major Subordinate Commands (MSC) Conduct USR Turn-In (D). • MSC leaders brief General Officers during the Quarterly Readiness Brief (QRB) (D+14). • Personnel Technicians review performance, policy, and recommend necessary adjustments to

improve performance (D+28). • Staff prepares guidance for publication in FRAGORD (D-60). • Readiness scrubs are conducted related to priority issues as key measures of effectiveness (D-45). • MSC action officers and key leaders from directorates conduct Readiness Working Groups to

direct unit efforts (D-30).


Process Evaluation System

Customers

Stakeholders

TAG

ATAG

DA

FORSCOM

NGB


GOV)


CoS)

Customer feedback

Core competencies



Process owner guidance

Work systems

Work processes systematic &

effective

Products

WorkforceStart

End


documents

Compare results versus

expectations

Do Gaps exist?

Continue process Analyze effectiveness

Analyze efficiency

(1) Alignment(2) Resource allocation(3) Metrics(4) Plans & policies(5) Deployment

Revise thruKMWG

Update SMS

No Yes

20

Data Extract pull occurs at D-10 which is the primary measure of performance reviewed during the following 90 Day Operational Cycle.

Bi-weekly Chief of Staff meetings and monthly CUBs provide a method for routine examination of organizational effectiveness and a means for leadership to shift priorities. (A-M,D,I)

4.1.c.(1) Future Performance

Fig. 4.1.c.(1)

Future performance is nested under the established LOE’s and analyzed using UAT and USR metrics. KYARNG units are required conduct 120 day training meetings and lock training plans in the Army’s Digital Training Management System (DTMS) where they are approved by each level of higher headquarters and finally checked for USR alignment against doctrinal METL aim points under the Sustained Readiness Model (SRM). Unit future plans are recorded two years out in the Unit Training

Fig. 4.1.b

21

Plans (UTP) and briefed annually to TAG or ATAG (Fig. 4.1.c(1)). Key steps in this process include chain of command approval at each level, review by the headquarters staff to de-conflict resources, and verification of strategic alignment by general officers. Historical data analysis and performance reviews provide straight line feedback to predict unit performance guide the decision making process. We have identified strategically aligned future performance as an opportunity for future growth. (A-M,D,L,I)

4.1.c.(2) Continuous Improvement & Innovation KYARNG leadership involvement on planning councils and committees begins the top down

performance review process. Scrutiny of trends through point-in-time performance measurement identified the need for staff level analysis of measurement tools.

State level yearly workshops such as the G3 Plans, Operations, and Training Conference (POTC), the G4 Log Workshop, and the G1 Workshop provide improvement methods and best practices in order to address strategic objectives. Working groups and readiness scrubs provide tools for innovation and continual review.

Recent efforts to synchronize lines of effort across the organization include the integration of quarterly Administrative Officer (AO) meetings. The KYARNG chief of staff (COS) determined greater emphasis should be given to the implementation of best practices. Through this meeting he provides necessary leadership driven emphasis to top-down strategy that allows for bottom-up-refinement to be captured. Additionally, the COS instituted a KYARNG knowledge management position to structure information and processes systematically across the organization. The KYARNG Knowledge Management Policy will be integrated into all echelons of operation by FY 2018. (A-M,D,L,I)

4.2 Information & Knowledge Management 4.2.a.(1) Quality

The KYARNG ensures data quality via the four step process of Access control, Data Integrity, Data Availability, and Data lifecycle. Access control ensures those that need to have access to the data have it and those that need to modify are separate from those that can only read it. Access control starts with the process of New User Request Application and the User Qualification Program (UQP) using a five step annual process to maintain a basic network user account. The data custodians (DPI/G6) implement the technical aspects of the user account request. In addition, all users must complete cyber awareness training annually. Following New user, the data owner specifies who has access. The data custodian actions the specification from the data owner. This access is reviewed annually to ensure that the requirements for access to the data is required.

Data Integrity ensures the data owner’s data is correct and current. The data owner reviews their data quarterly and is prompted by the Data Custodian though the process of the quarterly quota reports, which shows their current utilization, size, file types, and age. (A-M,D,I)

Fig 4.2.a.(1)

22

Data Lifecycle is achieved thru the use of the quarterly quota reports in while the data owners receive a list of files not accessed in the last 90 days and are candidates for archiving.

4.2.a.(2) Availability The KYARNG G6 uses a six-step change management

process to plan all changes to the information technology infrastructure in order to ensure data and information availability. This process is derived from the Information Technology Information Library (ITIL) standards of Information Technology Service Management (ITSM). The Change Advisory Board (CAB) leader is ITIL credentialed in Change Management (CM) and ITSM. The CAB is held on a weekly basis and validates all changes and reviews the effects of planned changes, unplanned changes, and anomalies resulting in emergency change requests on the network to minimize impact to the network. (A-M,D,I)

4.2.b.(1) Knowledge Management

Fig. 4.2.b.(1) (A-M,D,I)

(L) Learning Vignette: During the 2016 self-assessment process, the KYARNG writing team identified a knowledge gap and recommended adding a Knowledge Management Officer (KMO) to the JFHQ. The newly appointed KMO conducted an assessment and developed an action plan to address the KEY gaps. The KEY identified gaps were the absence of a state level battle rhythm, no KM SOP, no content management plan, and no performance dashboard on the SharePoint. The Chief of Staff appointed a Knowledge Management Working Group (KMWG) led by the KMO and consisting of the deputy directors from the JFHQ.


Knowledge Management Process

Customers

DA

FORSCOM

NGB

TAG

CoS

Process owners


GOV)

ATTP 6-01.1 (KM)


CoS)

Core competencies



Process owner guidance

Work systems

Work processes systematic &

effective

Products

Workforce

Stakeholders

Customers

Start

End

KMO conducts initial assessment

KMO reports no gaps exist

KMO drafts base action plan(s)

KMO briefs gaps & draft action plan(s) to

KMWG

KMWG conducts ADDPI process

KMWG evaluates process

Do gaps exist?

KMWG evaluates results

TAG appoints KMO

CoS appoints KMWG

AssessDefine

DescribeAnalyzeDepict

DesignConceptualize

RefinePrepare

DevelopConfirmOutline

Build

PilotPlan

PrepareExecuteEvaluate

ImplementProduce

SynchronizeAssess

No

Yes

23

The KMWG designed, developed, piloted, and implemented (1) a yearly battle rhythm that synchronizes the activities of the JFHQ and with subordinate elements; (2) a regulation, not an SOP, that provides specific guidance on KM principles, including content management, and the transfer of data, information, and knowledge via electronic means; and (3) a revised SharePoint construct that has improved functionality, search-ability, and facilitates the transfer of recent and relevant information to internal users and external stakeholders, collaborators, and two KEY suppliers behind a dot-mil firewall.

4.2.b.(2) Best Practices The KYARNG shares best practices primarily within function areas as (1) each directorate conducts

their internal processes and identifys top performing subordinate organizations by key metric, (2) assessing the transferrability of the process, (3) distributing the process, and (4) evaluating results. (A-M,D,I)

4.2.b.(3) Organizational Learning The KYARNG uses knowledge and resources to imbed learning in the organization’s operation by (1)

reviewing requirements, (2) developing standardized desktop references, (3) deploying desktop references to the workforce, (4) communicating program requirements and meeting schedules via the OPORD & FRAGO processes, (5a) conducting yearly directorate lead training, (5b) conducting monthly or quarterly directorate lead meetings, and (6) evaluating results through the QTB and USR sub-processes (Fig.6.2.a.2) (A-M,D,L,I).

Category 5 – Workforce 5.1 Workforce Environment 5.1.a.(1) Capability & Capacity

Fig. 5.1.a.(1).1

Suppliers Inputs Process Outputs CustomersG1 UMR Management

DoD

DA

NGB

KYARNGR

TAG

External guidance

Internal guidance


MTOE/TDA

Manned Units Federal

State

TAG

Unit Cdrs

KEY Metrics:Actual vacancies

Projected vacancies ("B9")

DMOSQ-PSH-OA

Communicate decision

EPS

Review documents

Start

Implement changes?

End

Implement changes

Evaluate results

Evaluate process

Potential changes (Cmd

priorities & regulatory

requirements)

NoYes

UMR scrub

Update vacancy report

24

The KYARNG workforce capacity and capability needs are directed by published Modified Tables of Organization and Equipment (MTOE) and Table of Distribution and Allowances (TDA) documents which proscribe the personnel requirements for every KYARNG unit, by rank and Military Occupational Specialty (MOS). The KYARNG uses the UMR management process (Fig.5.1.a.(1).1) quarterly to assess the capability and capacity of each unit in the KYARNG. As personnel are moved and vacancies created, the Enlisted Personnel System (EPS) sub-process is used to move Soldiers into positions with higher rank. (A-M,D,I)

KYARNG uses the G1 Medical Readiness Process (Fig. 5.1.a.(1).2) to identify and resolve existing or potential medical issues to meet expect readiness levels. (A-M,D,I)

Fig. 5.1.a.(1).2


G1 Medical Readiness

DoD

DA

NGB

KYARNG

TAG

External guidance

Internal guidance


MTOE/TDA

Medically ready Soldiers

Federal

State

TAG

Unit Cdrs

Soldiers

Publish guidance

Synchronize resources

Review documents

Start

Retain?

End

Execute plan

Individual Disability

Evaluation System

Develop guidance

No

Yes

OP Order process

Medically fit?

Yes

Discharge

No

Evaluate results

Evaluate process

25

5.1.a.(2) New Workforce Members

Fig. 5.1.a.(2)

The KYARNG recruits new traditional workforce members based on vacancies identified during the UMR Management process (Fig.5.1.a(1).1). The KYARNG Recruiting and Retention Battalion (RRB) fills vacancies using the Recruiting – Supply Chain Management Process (Fig.5.1.a.(2)). Recruiters are hired and geographically placed across the state in areas where local demographics are most likely to produce qualified applicants. The RRB also facilitates the recruiting of prior active duty personnel thru coordination with Reserve Component Center Counselors (RCCC) at each of the active duty installations as an additional means of supplying qualified personnel for the organization. (A-M,D,L,I)

Hiring new full time support (FTS) workforce members is an event driven process that incorporates multiple Federal, Department of the Army (DA), National Guard Bureau (NGB), and State policies & regulations. Vacancies are created as current FTS employees retire or transition to another career. Once a vacancy exists, FTS applicants (AGR or Technician) undergo a similar process: 1) application submittal; 2) application screening by HRO against position requirements; 3) medical/background screening to determine job capability; 4) interview/hiring process, and 5) placement; and 6) position-specific training.

The KYARNG uses the workforce development and engagement process (Fig. 5.2.a.(2)) to retain employees. They receive information during initial recruiting and enlistment and are updated annually or as significant changes occur.

Learning Vignette (L): Beginning in FY16, the KYARNG started a retention/out-processing program entitled “Final Formation” during which all Traditional Soldiers within 90 days of the end of their service travel to Joint Force Headquarters (JFHQ). The event is conducted bi-monthly, and the location varies based on the demographics of scheduled attendees (eastern vs. western portion of the state). JFHQ Staff provides updates to benefits within the organization, including bonuses for re-enlistment, student loan repayment options, tuition assistance information, and health insurance. The goal


Recruiting - Supply Chain Management

KY Communities

DA

NGB

DoD

MEPCOM

TAG

Applicants

External guidance

Internal guidance

MTOE/TDA

Accessions mission



Projected vacancies - (AUVS & SIB-X "B9"

codes)

Qualified Soldiers TAG

Unit Cdrs

Key Metrics:RSP metrics

Retention

Accessions

Attrition

Projections:Accessions

Prospecting

Develop centers of influence

relationships

Review documents

Start

ID target demographics

End

Analyze competitors

Strength maintenance

plan

Marketing plan

Publish strength maintenance

plan internally & externally

Publish marketing plan

internally

Track progress

26

is to provide employees enough information to make an informed decision before exiting the organization. Those who elect to remain are given the opportunity to extend their contract on the spot if they qualify, and those who do not chose to stay have all the information necessary regarding to make their transition to civilian life much smoother than in previous years. Final Formation is evaluated following the event via survey from those who participated.

5.1.a.(3) Workforce Change Management Changes in capability and capacity are directed by DA through updates to MTOE and TDA

documents. TAG may also seek capability and capacity changes through the addition of new force structure or by negotiating the re-allocation of force structure from within COMPO Two. The KYARNG uses a Process Design and Development Process (Fig. 6.1.a.(3)) to review TDA and MTOE documents and implement changes as required. The process ensures electronic databases accurately reflect current requirements and capacity (available strength), allowing the best measure of capability (readiness). (A-M,D,I)

5.1.a.(4) Work Accomplishment The organization of the KYARNG workforce is directed by our MTOE and TDA documents.

The KYARNG has the capability to modify the distribution of the FTS workforce. The FTS manage the day-to-day operations of the KYARNG, and facilitate preparations for exercises and events executed by our traditional workforce. Duties for the majority of the technician workforce reside within the directorates. Within the MSC’s, the make-up of each unit primarily consists of traditional employees and Active Guard Reserve (AGR) employees; with the former being the majority and serving part time. AGR’s accomplish the majority of the administrative work necessary to train the force, giving the traditional workforce the opportunity to accomplish tasks associated with training objectives and customer requirements. Regardless of status, the workforce aligned to capitalize on core competencies optimize our responsiveness to our customers, and increase the likelihood of exceeding performance expectations. Units are aligned specifically to give commanders and TAG the ability to deliver on customer requests with a tailored force. (A-M,D,I)

5.1.b.(1) Workplace Environment The KYARNG ensures workplace security through the G2 security and protection process (Fig.

6.2.b.(2)). The Facilities Management Office has responsibility for ensuring accessibility through compliance with state and federal laws. Our G1 medical readiness process (Fig. 5.1.a.(1).2) and the technician medical process ensure the health of the workforce. (A-M,D,I)

5.1.b.(2) Workforce Benefits & Policies KYARNG workforce benefits and policies are

proscribed by federal or state laws and regulations based on the workforce segment (traditional, AGR, Technician). Directorates: 1) review law, regulations, and policies, 2) develop implementing policies, 3) submit policies for TAG approval, 4) deploy policies to the workforce via social media posts, email distribution, SharePoint, weekly staff updates, unit/directorate bulletin boards, or face-to-face briefings (initial-hire, annual update, Final Formation, and post-deployment), and 5) implement policies. The KYARNG uses the inspection process (Fig. 6.1.b.(3))to verify deployment. (A-M,D,L,I)

Tech

AG

R

Trad

ition

al

X X XX X XX X XX X XX X X

XX XX X XX X XX X XX X X

X X XX X XX X XX X XX X XX X X

Youth Programs Chaplain ServicesEmployment Services

Traditional Savings Plan

* Non Dual Status Technicians are not eligible for some benefits offered

Figure 5.1 b(2) Workforce Benefits and Policies

Career & Personal Development Family Assistance CenterDiscounts on travel and purchases

Workforce Specific

Flexible Work SchedulesPasses

Workforce Benefits and Policies

Educational BenefitsHealth Benefits Life Insurance

Leave Retirement briefings and assistanceAwards ProgramsPhysical Fitness opportunities and FacilitiesEducational BenefitsWorkforce & Family

27

5.2 Workforce Engagement 5.2.a.(1) Organizational Culture

The KYARNG fosters an organizational culture characterized by open communication through two specific forms, organizational requirements and individual requirements (Fig.5.2.a.(1)). Although senior leadership has responsibility for the entire KYARNG, subordinate leaders have similar responsibility relative to their level within the KYARNG. Each distributes information through the SharePoint and email messaging to full-time and/or traditional members. Communication is integrated into evaluation process. Evaluations begin with establishing performance standards during the initial counseling. Subsequent counseling sessions provide in-progress reviews prior to completing the evaluation. (A-O,D,I)

5.2.a.(2) Drivers of Engagement

Fig. 5.2.a.(2)

Suppliers Inputs Process Outputs Customers Key Metrics

G1 Workforce Development & Engagement

DoD

DA

NGB

KYARNGR

TAG

External guidance

Internal guidance


MTOE/TDA

Ready Soldiers

TAG

Unit Cdrs

Soldiers

Stakeholders

1. #Delinquent OER's2. #Awards processed3. #Service overdue4. #Soldiers eligible v. #EPS offers given v. #Slots filled5. #KD positions filled6. #Quality personnel retained7. #trained personnel / #required8. #SHARP finding / #reported9. $spent on state TA / $available10. #Soldiers w/ Post secondary degrees, certs, or licenses

Publish guidance

Awards process


documents

Start

EndPromotion

process

Incentives process

Develop guidance

Evaluations process

Evaluate results

Evaluate process

Execute guidance

Assignments process

Retention process

Civilian education

process

G1 Evaluation Process

G3 Unit Training process

IG Inspections Process

G3 Task Management

Process

Senior leadership receives analysis

Start

End

Develop new policies,

procedures, regulations,

Changes Required?

Senior leadership initiates action

Senior leadership communicates

results

YesNo

G3 QRB Process

28

The KYARNG determines KEY workforce drivers during the evaluations sub-process of engagement promotions, awards, and/or assignments. Previously identified drivers include the seven sub-processes identified (Fig. 5.2.a.(2)). (A-O,D,L,I)

5.2.a.(3) Assessment of Engagement The KYARNG assesses workforce engagement through sub-processes:

1. The evaluation sub-process is the primary formal means by which leaders assess workforce engagement. However leaders may also conduct informal developmental counseling related to key workforce activities. These may also provide insight to the level of engagement.

2. Leaders may promote engagement through the awards, promotion, assignments, or incentives sub-processes.

3. Surveys and reports (Defense Equal Opportunity Management Institute Climate Survey (DEOCS), and Unit Risk Inventory (URI) provide leadership information about unit climate, and members with at risk behaviors. Leadership makes decisions to improve unit or member readiness. Learning Vignette (L): In April, 2016, TAG directed a survey of all E5 through O6 personnel in the KYARNG. After reviewing the results, he directed all directors and MSC commanders receive a briefing as well. Further, he signed a memorandum that had the survey results as an enclosure with distribution to the entire KYARNG.

4. The retention sub-process promotes workforce engagement be ensuring qualified Soldiers are retained in the workforce to fill authorized positions. (A-O,D,I) 5.2.a.(4) Performance Management

The KYARNG evaluation sub-process supports high performance and workforce engagement. Evaluations are integrated into the retention, promotion, and assignments sub-processes because they are the performance record for a given period of time (Fig. 5.2.a.(1)). Performance standards include both specific individual and organizational requirements, and their alignment with the organizational strategic lines of effort. (A-O-D,I)

5.2.b.(1) Learning & Development System The KYARNG workforce development and

engagement process results in personal development of its workforce. The UMR management process (Fig. 5.1.a.(3)) ensures units are manned. When Soldiers are assigned to a position that requires additional training, Soldiers are trained using the G-3 Ready Soldier process (Fig. 5.2.b.(1).2). Note this does not apply to workforce recruits; they are trained through the Recruiting Supply Chain Management Process (Fig. 5.1.a.(2)).

Continuing Education (CE) for different duty positions is required based on an employee’s career progression track. For military members, education is divided based on classification as an Officer, Noncommissioned Officer, and Warrant Officer and is mandated by the Army. For our non–dual status technicians, it is based on the federal requirements of Office of Personnel Management (OPM) or National Guard Bureau (NGB).

Workforce Training Opportunities

Traditional

AGRTech

Basic Combat Training * & ** X X XAdvance Individual Training * & ** X X XTechnician orientation XAGR orientation XProfessional Education Center occupational training

Army Warrior * X X XEEO XEO X XSHARP X X XResilience X XPre-deployment training X XFiscal law / Budget X X XIT required X X XFunctional area workshops / conferences X X X

Officer / Warrant Officer Candidate School X XOfficer professional military education X XWarrant officer professional military education X XNCO professional military education X XCommander & First Sergeant pre-command course X XAGR supervisor course X XBasic supervisor course X X

Fig. 5.2.b.(1).1

Initial Training

Skills Based Training

Leadership Training

*Non-Dual status technicians are not required to attend this training**Officers commissioned through ROTC may not attend this training

29

Employees that are AGR or technician, including those who are non-dual status, receive additional training upon entry to the full-time force. AGR and Technician employees have orientation training. It outlines their respective programs, provides employees the basic positional requirements, and benefits as members. Based on position, employees are also required to attend occupational training at the Professional Educational Center. Additional fiscal, ethical, and administrative training based pertinent to the position may also be required. As employees are selected for leadership or management roles, the Human Resource Office offers training in Basic Supervisor for Technicians and AGR Supervisor training to provide them the necessary skills to evaluate and manage their employees. (A-M,D,L,I)

Fig. 5.2.b.(1).2 5.2.b.(2) Learning & Development Effectiveness

The KYARNG uses the inspections process (Fig. 6.1.b.(3)) and the workforce engagement and development process (Fig. 5.2.a.(2)) to evaluate the effectiveness and efficiency of the learning and development system. When opportunities are identified, the KYARNG communicates updated requirements to the subordinate units through the base operations order process (Fig. 2.2.a.(2).1), or the bi-weekly FRAGO process (Fig. 2.2.a.(2).2). (A-O,D,I)

5.2.b.(3) Career Progression The KYARNG manages career progression through the evaluations, promotions, and assignments

sub-processes (Fig. 5.2.a.(2)). These are integrated processes as evaluations are part of the scoring criteria for the Officer Assignments Boards (OAB) & the Enlisted Promotions System (EPS). This also ensures officer, warrant officers, and NCO’s are qualified and ready to assume positions of greater responsibility so key developmental positions are always filled. (A-M,D,I)

Suppliers Inputs Process Outputs CustomersG3 - Ready Soldier

Congress

DA

FORSCOM

TAG Guidance

Recruiting

Units

NGB School Managers


External guidance

Internal guidance

Budget

Soldier requirements

Training seats

Priorities

Qualified Soldiers FORSCOM

NGB

TAG

Unit Cdrs

Key Metrics:$ Executed / $

Available

Training seats

Training No-Shows

Base OPORD process

Receive inputs

Start

Analyze

End

FRAGO process

Evaluate results

Evaluate process

Review documents

Prioritize resources

Disperse resources

30

Category 6 – Operations 6.1 Work Processes 6.1.a.(1) Determination of Product & Process Requirements

The KYARNG determines product design and work requirements per Fig. 6.1.a.(1). Process design follows Fig.6.1.a.(3) (A-O,D,L,I)

Fig. 6.1.a.(1) 6.1.a.(2) Key Work Processes

KYARNG KEY work processes and requirements are identified on Profile page P.5. (A-M,D,I)

6.1.a.(3) Design Concepts The KYARNG designs products and work processes to meet requirements using Fig. 6.1.a.(3). The

only product we supply to our state and federal customers is ready units. New technologies are incorporated in our units using the supply chain management process (Fig. 6.1.c.); knowledge using the knowledge management process (Fig. 4.2.b.(1)); and product excellence using the unit training play development and approval process (Fig. 4.1.c.(1)). (A-M,D,L,I)

Suppliers Inputs Process Outputs CustomersProduct Design

Customers

TAG

ATAG

DA

FORSCOM

NGB

Customer requirements,

product, & performance specifications


GOV)

Internal guidance (TAG, strat priorities, ATAG)

Core competencies


Ready unit

Key work processes

Federal

State

WorkforceReceiver customer

requirements

Define product & performance specifications

Does existing product meet customer requirements?

Start

Deliver product to customer

Design work process to

develop product

Implement work process Develop product

Evaluate process Evaluate results Receive customer feedback

End

NO

Yes

31

Fig. 6.1.a.(3) 6.1.b.(1) Process Implementation

The KYARNG uses the yearly base operations order process (Fig.2.2.a.(2).1) to establish the priority and funding to accomplish action plans. Through the bi-weekly FRAGO process (Fig. 2.2.a.(2).2), directors communicate adjustments in priority and/or funding to action plans to the MSC’s. The KYARNG KEY product is ready units. The G1 UMR management process, the Unit training process, and the G4 Intra-state, inter-state, and COMPO transfer process all work in concert to produce manned, trained, and equipped units (A-M,D,L,I). The KYARNG ensures the day-to-day processes meet key requirements through the use of data systems including Directors Personnel Readiness Overview (DPRO), Digital Training Management System (DTMS), Global Fund Enterprise Business System (GFEBS), and Global Combat Support System-Army (GCSS-A). (A-M,D,I)

6.1.b.(2) Support Processes KYARNG determines key support processes using the process depicted in 6.1.a.(3). The KYARNG

support processes are allocated funding based on availability during the eight step PBAC process with priorities are set by the Chief of Staff following TAG guidance. (A-M,D,I)

The KYARNG key support processes are aligned under LOE 3 Relevance:

OBJ 3.1 External force management

OBJ 3.2 Internal force management

OBJ 3.3 Responsible stewardship

6.1.b.(3) Product & Process Improvement The KYARNG uses the process evaluation system (Fig. 4.1.a.(4)) and the inspection process (Fig.

6.1.b.(3)) to improve products and processes. (A-M,D,L,I)

Suppliers Inputs Process Outputs CustomersProcess Design & Development

Ready unit

MannedEquippedTrained

Federal

State

Force structure

Equipment

Training guidance

Training resources

Budget

Core competencies

Soldiers

Training space

DA

NGB

Kentucky

Directors review

external & internal

documents (Joint, DA, &

NGB)

TAG appoints key leaders & directors

Directors identify readiness

requirements

TAG provides guidance

Chief of Staff approves priorities

Directors recommend

readiness priorities

PBAC Process adjusts

funding to meet

readiness requirements

Directors publish initial guidance (Annual base

OPORD & SOPs)

G3 identifies approved MTOE/

TDA source documents for assigned units

G1 loads approved MTOE/TDA

documents in SIB-X

UTP process - Commanders

access readiness &

develop plans meet goals

Start

QRB process reviews

readiness indicators

Directors identify readiness gaps

FRAGO process

adjusts action plans to meet

readiness requirements

32

Fig. 6.1.b.(3)

6.1.c. Supply Chain Management The KYARNG manages the supply chain using Fig. 6.1.c. For MTOE & TDA equipment, suppliers

are directed by DA. For personnel, the KYARNG RRB is limited to recruiting within the confines of the Commonwealth. In-Service Recruits (ISR) fill vacancies validated during the G1 UMR management process (Fig. 5.1.a.(1).1). For CTA equipment acquisition, purchasing and contracting follow the federal acquisition regulation requirements. (A-M,D,L,I)

Suppliers Inputs Process Outputs CustomersInspections

DoD

DA

NGB

JFHQ

Units

Regulations

Policies

Results

Recommendations

Trends

Best practices

TAG

Unit cdrs

Key metrics:# Inspections

%Green% Red%Black

# days overdue

# open items greater than 180

days)

Detailed planning

Research

Start

End

Training Pre-inspection visits

Refer to appropriate

agency

Develop concept

No

Yes

Cdr approval?

In-progress reviews

Conduct inspection

Update TAG, cdr & directors

Update cdr & directors

Update cdr & directors Analyze results Conduct out-

briefRecommend

actions to TAG

Finalize report Distribute report Follow-up

33

Fig. 6.1.c.

6.2 Operational Effectiveness 6.2.a. Process Efficiency & Effectiveness

The KYARNG uses the PBAC process (Fig. 6.2.a.1) to control costs; balance that with the customer’s needs; improve efficiency; and minimize costs associated with loss of productivity, inspections, and audits. It is deployed annually starting with the initial guidance with the 1st PBAC and is evaluated quarterly during subsequence meetings. (A-M,D,L,I)

Fig. 6.2.a.1

Suppliers Inputs Process Outputs CustomersSupply Chain Management

KY Communities

DA

NGB

DoD

MEPCOM

Applicants

External guidance

Internal guidance

MTOE/TDA/CTA



Projected vacancies - (AUVS & SIB-X "B9"

codes)

DST message

Manned units

Equipped units

TAG

Unit Cdrs

Key Metrics:USR-P

USR-SCTA

Review documents

Start

End

MTOE / TDADo gaps exist?

MTOE/TDA or CTA?

Personnel

Evaluate results

Evaluate process

No

Yes

Personnel or Equipment?

Equipment

Retention

G4 - Intra-state \

Interstate \ COMPO Transfer

Retention

Purchasing & Contracting

G1 UMR Manageme

nt

Recruiting

Suppliers Inputs Process Outputs CustomersPBAC

Congress

DA

NGB

TAG

External guidance (DA, NGB)


CoS)

Budget (Authorization & appropriation)


Cooperative agreements

Acquisition planning board


Ready units

Updated obligation plans

TAG

Directors

Unit cdrs

Start

End


documents

Review TAG guidance &

strategic priorities

ID program & resource

requirements

ID funding excess or shortfalls by

category

Re-prioritize funding to meet

requirements

Deploy plan via FRAGO process

Evaluate results Evaluate process

34

The KYARNG increases productivity, efficiency, and effectiveness; and reduces cycle time in producing read units through the unit training process (Fig. 6.2.a.2). (A-M,D,L,I)

6.2.a.2

The KYARNG improves equipment on-hand ratings of subordinate units and minimizes equipment repair costs through the G4 new equipment fielding process (Fig. 6.2.a.3). (A-M,D,L,I)

6.2.a.3

Suppliers Inputs Process Outputs CustomersUnit Training

DA

FORSCOM

COCOMs

1st Army

TAG


External guidance

Internal guidance


State 350-2

Trained units

FORSCOM

KY-GOV

Key Metrics:USR(T)

OBJ-T

UTP process

Receive inputs

Start

Analyze

End

Resource approved

training plans


Review documents

Develop guidance

Distribute guidance

TAG approval

No

Yes

Resource approved

training plans

QRB process to

track progress

PBAC process to

adjust resources


G4 - New Equipment Fielding

DA

NGB

FIRO

MTOE

TDA

Equipment Units

PBOs

Passing T/I?

Warranty Work

FIRO notifies G4 of new equipment

fielding

Equipment shipped from

factory to supporting FMS

Start

PBO receives equipment in

GCSS-A

Equipment moved to gaining

unit

FMS coordinates with Fielding

Team for resolution

Replacement

End

Yes No

35

6.2.b.(1) Reliability The KYARNG ensure information systems reliability through the systems and service request process (Fig. 6.2.b.(1)). (A-O,D,I)

6.2.b.(1)

6.2.b.(2) Security & Cybersecurity

6.2.b.(2)

Suppliers Inputs Process Outputs Customers1) Review Docs - Internal and External - CIA

2) Identify Base Requirements - Does It Meet CIA? (YES or NO)

3) Develop Plan

4) Prioritize - All Resource available? Yes - move to execute No - Go to PBAC (Separate Process) (UFR)

5) Execute Plan

6) Procurement - Separate Process - Cooperative Agreement-Yes - State; No - Fed

7) Supply Chain Mgmt. - Separate Process

8) Life Cycle Mgmt - Separate Process - Risk Assessment; STIG subprocess; PoAM subprocess; CIA management

9) END

CongressDISADA

NGBKY-GOV

Regulation

Policy

Guidance

Directives

Infastructure

Hardware

Software

Cooperative Agreements

DataVideoVoice

TAG FTMCdrs

KY-EM

Key Metrics:

Vulnerability - LEAD

Compliance - LAG

Systems and Services Request


Security and Protection Process

Congress DA NGB

KY-GOV DOD CAF

Regulation

Policy

Guidance

Directives

External Reporting Systems (EQIP, PSIP)

Ready Soldiers Ready Workforce Safe and Secure

Faculities KY CCIR KYNG

CIL

TAG FTM

Cdrs KY-EM KY

DMA

Key Metrics:

Compliance

CRE - Internal Evaluation

NGB External Evaluation - Every

August

Develop plan


documents

Start

End

Industrial security

Identify KEY requirements

No Yes

Develop implementation

policy

TAG approval? Distribute Execute sub-

processes


Physical security

Foreign disclosure

Visitor control

Operational security

Threat Awareness Reporting Program (TARP)

Counter Intelligence

Information security

Personnel security

DA Crypto Access

Program

Anti-terrorism

Installation Emergency

Mgmnt

Evaluate compliance

36

KYARNG ensures the security of sensitive or privileged data as a part of the security & protection process, (Fig. 6.2.b.(2)). The proponent for this process is the KYARNG J2. It is deployed to the field through policies and guidance, Yellow and Red “Hashes”, and through training workshops for Unit Security Managers. This process is integrated with the Inspector General’s Organizational Inspection Program’s (OIP) Command Readiness Evaluation (CRE) inspections where units are evaluated on compliance with these policies at least 3 to 5 years and the J2 is evaluated annually by NGB every August.

The KYARNG ensures the cybersecurity of sensitive or privileged data and information by conducting a 4-step process of reviewing, inspecting, communicating, and make approved changes. During the review, the Information Assurance Manager (IAM) and data Custodians review pertinent updates in vulnerabilities, regulation, policy, and historical organization findings for new trends and threats. The information generated in the review is inspected against the baseline system(s) affected thru Assured Compliance Assessment Solution (ACAS) scans and Security Technical Implementation Guide (STIG). The IAM communicates the pertinent updates and results in vulnerabilities, regulation, policy, and historical organization findings in weekly cyber security huddle meetings. The data custodian submit change requests (4.2.a.(2)) , and if approved, applies the changes. Results are tracked weekly and scored via the ACAS score.

The G6 IAM uses a three step process of receive, analyze, and communicate to track emerging cyber threats and trends. The IAM receives information from multiple sources (NGB, COT, News, and security news trends) analyzes the information to determine relevance, risk, and mitigation, then uses E-mail, Cyber security huddle, and monthly newsletters to communication to the system administrators and the user population.

The G6 maintains a process that prioritized the key information systems. The annual process reviews the previous list for changes (Additions, deletions, and capabilities). This list is reviewed annually for accuracy. Finally, communicated to the System Administrators for priority of work. (A-M,D,L,I)

6.2.c.(1) Safety The KYARNG ensures a safe working environment through the Standard Army Safety and

Occupational Health Inspections process. The proponent for this process in the KYARNG Safety Office. This process is deployed and integrated with the inspection process (Fig. 6.1.b.(3)). Units are evaluated based on compliance with establish safety standards and results are evaluated and reported during the CRE out brief. (A-O,D,I)

37

6.2.c.(2) Business Continuity

Fig. 6.2.c.(2).1

The KYARNG ensures readiness for disasters and emergencies using the installation emergency management process (Fig. 6.2.c.(2)), a sub process of the security & protection process (Fig. 6.2.b.(2)). These processes are distributed and updated via protection council meetings and other varies media thru our State and Federal KEY partners. The result is our installation emergency management program (IEMP) which is an all-hazards response plan. The plan is deployed to all subordinate elements of the KYARNG thru policies and guidance from the G2 and is integrated into the inspection process (Fig. 6.1.b.(3)) where it is inspected at least every three years. (A-M,D,L,I)

The KYARNG uses three processes for ensuring emergency availability of information: Hardware Standardization, Tiered Storage, and Continuity of Operations. The KYARNG utilizes the semi-annual process that compares current technology standards, age, and regulations. During this process, members of the G6 ensures that on-hand hardware that can be utilized in the event that another system has a catastrophic failure.

KYARNG utilizes the process of prioritizing data to determine its criticality via a tier Disaster Recovery (DR) storage and restoration system using the process as dictate in figure. DR tier 1 (most critical data), data that directly supports KYARNG ability to affect the USR and UAT, which includes enterprise file share, SIDPERS and fiscal applications, are replicated offsite. See chart for the cycle of DR strategy. The four step process is validate space and hardware for restoration (G6/DPI), conduct restoration via instruction set (G6/DPI), validate/compare data to live set and operations (data Owner), AAR and update instructions discrepancies as identified (G6/DPI).

The Continuity of Operations is tested yearly. This process confirms the business needs in the event that the primary systems are unavailable and tests the time involved to bring alternate systems identified in the hardware standardization process to production. The AAR, conducted by the data custodians

Suppliers Inputs Process Outputs CustomersDA

NGB KY-GOV DMA

Regulation

Policy

Guidance

Armories

Ready Soldiers

/Workforce Ready Faculities

TAG FTM

Cdrs KY-EM KY

DMA

KEY Metrics:Compliance

CRE - Internal Evaluation

NGB External Evaluation - Every

August

Installation Security Management

Develop plan


documents

Start

End

CRE to evaluate

compliance

Identify KEY requirements

No

YesDevelop

implementation policy

TAG approval?

Distribute Execute


38

(G6/DPI) and data owners, is review to improve the process, as well as updating documentation. Each tier of data has a random selection of restoration (Fig. 6.2.b.(2).2). (A-M,D,L,I)

Disaster Recovery

Tier

Offsite Replication

Continuity of Operations

Tested Annually?

Period of Random Sample

Restoration Testing

Media Type of Offsite

Goal Restoration

Time

COOP Testing Period

DR Tier 1 Yes Yes Weekly Disk 0-24 hours Annually

DR Tier 2 Yes No Weekly

Disk / Tape

(mixed) 24-72 hours NA

DR Tier 3 No No Monthly Tape 48+ hours NA

Fig. 6.2.c.(2).2

Category 7 – Results Results generated from the Strategic Management System (SMS). Actual values may be either

percentage, gross number, or dollar value as appropriate. Scores are normalized on a scale of one to ten with ten being the best using national standards or director approved criteria. Metrics may be either, monthly, quarterly, federal fiscal year, or state fiscal year. SMS review available upon request. Dark gray actual valued metrics without a score are not weighted due to being new and no national standards exist. Light gray metrics without data are new and have not been populated.

7.1 Product & Process Results 7.1.a. Customer Focused Product & Service

Assigned Calendar Series Nov-16 Dec-16 Jan-17 Feb-17 Mar-17 Apr-17

Monthly Actual Value 52 75 71 44 56 52Score 2 5 10 2 5 4

Monthly Actual Value 19 3 2 2 3 10Score

Monthly Actual ValueScore







Monthly Actual Value 92 92 92 92 92 90Score 6.93 6.93 6.93 6.93 6.93 6.67

G4.3.1 CDU EQUIPMENT ON HAND %

2.1.X IDT Attendance

2.3 Commanders & Staff proficient in Mission Command

2.3.1 - # Years since last Exeval2.3.2 - # BN or above collective events within

2.1.2 - Crew Serve Weapons Qualification (CSWQ)2.1.4 - MET Proficiency

2.1.5 Collective LFX Proficiency

Structure

Military Funeral & Honors missions

# of SAD missions supported

2.0 Unit Readiness - Shaping Effort (3-5 years)

Crews Qualified

39

7.1.b.(1) Process Effectiveness


Monthly Actual Value 25% 50% 50% 50% 75% 75%Score 1.1 2.2 2.2 2.2 3.3 3.3

Monthly Actual Value 91.08% 89.06% 88.89% 87.35% 87.69%Score 8.69 8.02 7.96 7.45 7.56

Monthly Actual Value 95.6% 95.6% 95.48% 95.62% 95.63%Score 10 10 10 10 10




Monthly Actual Value 39 37 39 32 48Score 4 4 4 5 2

Monthly Actual Value 92.9% 92.9% 92.9% 94.67% 96.02% 87.56%Score 7.63 7.63 7.63 8.22 8.67 5.85







Monthly Actual Value 0% 0% 3.64% 5.56% 5.56% 5.56%Score 2.7 2.43 2.48 2.22 0 0

Monthly Actual Value 3.43% 1.5% 2.3% 2.81% 2.71% 2.7%Score 0 10 0 0 0 0



Monthly Actual Value 6,650 6,650 6,553 6,735 5,944Score

Monthly Actual Value 0 0 0 0 118Score






PMC Hrs (LUH)

Planned Available Hrs (LUH)

Aircraft Readiness Level (OR Rate)

AASF

PMC Hrs (LIFT)

Planned Available Hrs (Lift) OR Rate (LUH)

FMC Hrs (LUH)

State TMDE DelinquencyOR Rate AASF

OR Rate (LIFT)

FMC Hrs (LIFT)

G4.2.2.1 149th MEB

G4.2.2.2 75th TRP CMD G4.2.2.3 138th Fires BDE G4.2.2.4 63rd TAB

G4.2: MAINTENANCE STATUS

G4.2.1: KY - Average Operational Readiness G4.2.1.1 OR PACING G4.4.2.1.2 Perry OR

G4.2.2: Units 25% Annual Required

2.1.X IDT Attendance

1.3.6 No-Val Pay National Ranking

3.3.2 Operationally available

3.3.2 Operationally available3.3.2 Operationally available National

Structure

Knowledge Management

KMWG task completion percentage

1.3.3 Medical availability

KY - Enlisted DMOSQ

40

7.1.b.(2) Safety & Emergency Preparedness

7.1.c. Supply Chain Management

7.2 Customer Results 7.2.a.(1) Customer Satisfaction






Quarterly Actual Value 93 93 85 85 85 92Score 7.07 7.07 6 6 6 6.93


G4.3.2: AUTHORIZED EQUIPMENT ON HAND

G4.3.2: EOH %

G4.3.2.2: Pacing Item EOH%

FMC Hrs (MED)

PMC Hrs (MED)

Planned Available Hrs (MED)

Aircraft Readiness Level (OR Rate)

AASF

Structure

OR Rate (MED)

Structure Assigned Calendar Series Nov-16 Dec-16 Jan-17 Feb-17 Mar-17 Apr-17

Fiscal Year Actual Yes Yes Yes Yes Yes YesScore 10 10 10 10 10 10

Installation Emergency

Assigned Calendar Series Nov-16 Dec-16 Jan-17 Feb-17 Mar-17 Apr-17Quarterly Actual Value 93 93 85 85 85 92

Score 7.07 7.07 6 6 6 6.93Monthly Actual Value

ScoreSemi-Annual Actual Value 0.36 0.36 0.36 0.36 0.36 0.36

Score 10 10 10 10 10 10Monthly Actual Value 13,996.89 11,285.16 0 14,692.06 26,494.88 8,314

Score 3.56 4.16 6.67 3.4 0.78 4.82Monthly Actual Value

ScoreMonthly Actual Value 11,050.43 1,982.8 30,371.4 1,529,501.04 20,160 999

ScoreMonthly Actual Value 30 30 28 33 32 35

Score 4.76 4.76 4.95 4.48 4.57 4.29Monthly Actual Value 93% 93.1% 93.6% 93.9% 93.9% 93.9%

Score 5.33 5.4 5.73 5.93 5.93 5.93Monthly Actual Value 4.89% 5.23% 3.66% 2.35% 2.33% 2.47%

Score 7.03 5.9 10 10 10 10Monthly Actual Value 97.8% 97.8% 96.8% 96.1% 95.9% 95.6%

Score 6.87 6.87 6.53 6.07 5.93 5.73Monthly Actual Value 85.7% 85.6% 86% 86% 85.9% 85.8%

Score 2.86 2.84 2.89 2.89 2.88 2.87

RSP National Rank

Training Seat Management Rate

RSP Negative End Strength %

Shipper Quality Control Rate

Enlisted Training Pipeline (IADT) Success (12 Mo Rolling)

G4.4.2: OCIE Discharged Dollars

Overall COPA Rating

G4.1.3: FLIPL DOLLARS LOST

StructureG4.3.2: AUTHORIZED EQUIPMENT ON HAND

G4.3.2: EOH %

G4.3.2.2: Pacing Item EOH%

G4.3.3.1: Excess % Dollar Value

Structure Assigned Calendar Series Nov-16 Dec-16 Jan-17 Feb-17 Mar-17 Apr-17

Monthly Actual Value 2 0 0 0 0 1Score 6.67 8.89 8.89 8.89 8.89 7.78

Military Funeral & Honors Customer Feedback

41

7.3 Workforce Results 7.3.a.(1) Workforce Capability & Capacity

Assigned Calendar

Series Nov-16 Dec-16 Jan-17 Feb-17 Mar-17 Apr-17

Monthly Actual Value 95.6% 95.6% 95.48% 95.62% 95.63%Score 10 10 10 10 10

Monthly Actual Value 7 9 9 8 7Score 7.78 7.04 7.04 7.41 7.78

Monthly Actual Value 45.57%Score 1.9

Monthly Actual Value 1,065 1,065 1,086 1,069 1,027Score 1.73 1.73 1.69 1.72 1.8











Monthly Actual Value 1.1% 1.2% 1.2% 1% 0.9% 1.1%Score 6 5.33 5.33 6.67 7 6


Monthly Actual Value 98.4% 98.4% 98.6% 99.1% 99.4% 100.1%Score 5.85 5.85 6 6.37 6.59 7.11

Monthly Actual Value 79% 79% 79% 75%Score 5.2 5.2 5.2 3.33

Monthly Actual Value 0.06% 0.01% 0.01% 0.01%Score 9.98 10 10 10


3.1.2 Precentage ESA

Security clearance

Valid Clearances

Denied & Revoked

National Ranking

1.3 Fit physically, mentally, and spiritually


1.3.5 AWOL

1.3.6 No-Val Pay

1.3.6 No-Val Pay

1.3.6 No-Val Pay National Ranking

KY - ILE Complete

KY - NCOES

KY - NCOES RankingKY - BLC Ranking

KY - ALC Ranking

KY - SLC Ranking

1.1.5 NCOES Backlog

KY - OPME KY - OES Ranking

KY - ILE Common CoreKY - CCC Ranking

Structure

1.0 Qualified, Confident & Fit Soldiers - Decisive Effort (1-3 years) (Priority)

KY - Enlisted DMOSQ

KY - Enlisted DMOSQ ranking

1.1.3 - Individual Weapons Qualification (IWQ)

42

7.3.a.(2) Workforce Climate

Assigned Calendar Series Nov-16 Dec-16 Jan-17 Feb-17 Mar-17 Apr-17Monthly Actual Value 13 15 18 23 22 19

Score 6 6 6 5 6 6Monthly Actual Value 1 2 1 8 2 3

Score 10 9 10 7 9 9Fiscal Year Actual Value

ScoreMonthly Actual Value 173 94 171 111 139 173

Score 3 7 3 7 4 3Monthly Actual Value 73 83 100 105 112

Score 8 8 8 8 8Monthly Actual Value 133 109 118 21

Score 4 5 5 9Monthly Actual Value 713 0 406 938 263

ScoreFY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016

Fiscal Year Actual Value Yes Yes YesScore 10 10 10












Installation Emergency Management

Installation Emergency Management Compliance

TARP TARP Compliance

Personnel Security Personnel Security Compliance

DA Crypto-Access DA Crypto Access Compliance

Operational Security

Operational Security Compliance

Visitor Control Visitor Control Compliance

Counter-Intelligence

Counter Intelligence Compliance

Information Security

Information Security Compliance

Anti-Terrorism Anti-Terrorism Compliance

Foreign Disclosure Foreign Disclosure Compliance

Secu

rity

& P

rote

ctio

n Pr

ogra

ms

Physical Security Physical Security Compliance

Industrial Security Industrial Security Compliance

Referrals

4.3.4 # Behavioral health

4.3.6 # FAC assistance requests

4.3.7 # URI

Structure1.3.6 No-Val Pay National Ranking

4.3.2 # Drug Separation

4.3.3 SARC

43

7.3.a.(3) Workforce Engagement

Assigned Calendar Series FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016

Fiscal Year Actual Value YesScore 10

Fiscal Year Actual Value 3.34Score 6.13


Fiscal Year Actual Value 3.3Score 6


Fiscal Year Actual Value 3Score 6












Nov-16 Dec-16 Jan-17 Feb-17 Mar-17 Apr-17Monthly Actual Value 92.31% 75% 72.73% 82.61% 74.36% 90.48%

Score 5.77 2.94 2.85 3.24 2.92 5.161.2.1 Retention (careerist)

Survey Question 15Survey Question 16

Survey Question 12Survey Question 13Survey Question 14




StructureO

rgan

izat

iona

l Wor

kfor

ce S

urve

y

Survey CompletionSurvey Question 1Survey Question 2

44

7.3.a.(4) Workforce Development

7.4 Leadership & Governance Results 7.4.a.(1) Leadership











Monthly Actual Value 100%Score 10

Monthly Actual Value 133.33%Score 10







Monthly Actual Value 90.4 90.4 90.3 90.1 90 90Score 7.36 7.36 7.47 7.7 7.82 7.82

Monthly Actual Value 1 1 1 1 1.1 1Score 6.67 6.67 6.67 6.67 7.5 6.67

Monthly Actual Value 8.2 8.2 8.3 8.5 8.5 8.5Score 9.33 9.33 10 8.67 8.67 8.67

Monthly Actual Value 0.4 0.4 0.4 0.4 0.4 0.4Score 6.67 6.67 6.67 6.67 6.67 6.67

Monthly Actual Value 2.1 2.1 2.1 2.1 2.1 2.1Score 2.44 2.44 2.44 2.44 2.44 2.44

Monthly Actual Value 87.5 87.4 87.3 87.3 87.2 87.2Score 10 9.87 9.73 9.73 9.6 9.6

Monthly Actual Value 12.5 12.6 12.7 12.7 12.8 12.8Score 10 9.78 9.56 9.56 9.33 9.33

Monthly Actual Value 83.5 83.5 83.3 83.3 83.2 83.2Score 10 10 9.33 9.33 9 9

Hispanic

Male - Female Ratio

Male Population

Female PopulationNGB Comparison

Demographics Caucasian

Asian

Black

Native American

RL1 MED

RL1 MED Auth

Crew Readiness

Levels (RL1) AASF

RL1 PI

RL1 CE

CE Status (MED)

RL1 Med

CE Status (LUH)

CE Status (LIFT)

PI Status (MED)

PI Status (LUH)

KY - SLC Ranking


PI Status (LIFT)

KY - ILE Complete

KY - NCOES KY - NCOES Ranking

KY - BLC Ranking

KY - ALC Ranking

Structure

KY - OPME KY - OES Ranking

KY - ILE Common Core

KY - CCC Ranking

45

7.4.a.(2) Governance

7.4.a.(3) Law & Regulation

7.4.a.(4) Ethics

Structure Assigned Calendar

Series Nov-16 Dec-16 Jan-17 Feb-17 Mar-17 Apr-17


Monthly Actual Value 1 0 0 1 0 2Score 5 6.67 6.67 5 6.67 3.33

Monthly Actual Value 0 0 0 0 0 3Score 6.67 6.67 6.67 6.67 6.67 0

External Inspections

Intelligence Oversight InspectionsSpecial Inspections


Monthly Actual Value 3Score 5

Monthly Actual Value 3Score 5






FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016Fiscal Year Actual Value Yes

Score 10Fiscal Year Actual Value 78%

Score 7

3.3.5 - Management of Internal Controls Program

MICP Progam Compliance

MICP - Assessment Completion Rate

Substantiated Allegations

Admin Board actions conducted

Investigations Investigative Inquiries

Not Substanitated Substantiated Allegations

Formal Investigations

Not Substantiated

Structure

3.3.9 - Founded AR 15-6 Allegations

3.3.9 - Founded AR 15-6 Allegations3.3.9 - Founded AR 15-6 Allegations Ranking

3.3.10 - Administrative

Structure Assigned Calendar Series FY 2014 FY 2015 FY 2016

Fiscal Year Actual Value YesScore 10

3.3.4 - OGE 450 Submission

46

7.4.a.(5) Society

7.4.b.(Strategy Implementation

Assigned Calendar Series Feb-17 Mar-17 Apr-17

Monthly Actual Value 6 6Score 9 9

Monthly Actual Value 10% 10%Score 6.67 6.67

Monthly Actual Value 1 1Score 9.33 9.33

Monthly Actual Value 4 4Score 7 7




Monthly Actual Value 7 12 7Score 8 6 8

Congressional & Governor Constituent Inquiries

Structure

Open 181-365 Days

Open Greater Than 365 Days

IR Recommendations

IR Recommendation Implementation RateOpen Recommendations RateIR Recommendations Closed - Risk Acceptance

Internal Review Findings - Open

Open 0-90 Days

Open 91-180 Days

Assigned Calendar Series FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017Fiscal Year Actual N/A Yes Yes

Score N/A 10 10Fiscal Year Actual N/A Yes

Score N/A 10Fiscal Year Actual Yes Yes Yes

Score 10 10 10Fiscal Year Actual Yes Yes Yes

Score 10 10 10Fiscal Year Actual N/A N/A No

Score N/A N/A 0

Mission, Vision, Values, & Lines of SMS Update

StructureStrategic Planning Strategic planning

process reviewSenior Steering Committee MeetingStrategic Planning Committee

47

7.5 Financial & Market Results 7.5.a.(1) Financial Performance

7.5.a.(2) Marketplace Performance

Structure Assigned Calendar Series FY 2012 FY 2013 FY 2014 FY 2015 FY 2016

Fiscal Year Actual Value 99.87% 99.61% 99.31% 98.74% 99.9%Score 9.52 8.56 7.44 2.47 9.63

Fiscal Year Actual Value 98.86% 99.42% 99.16% 99.5% 100%Score 2.87 7.85 6.89 8.15 10



Monthly Actual Value $329,381.00

Score 10

Monthly Actual Value 7.18Score 0

KY - Obligation Rate

2060 Obligation Rate

Unliquidated Travel Authorizations - Expired Duty Greater than 30 days

2060 Financial Results2065 Financial ResultsKY - Execution Rate

Assigned Calendar Series FY 2013 FY 2014 FY 2015 FY 2016

Fiscal Year Actual Value 1 1 4 1Score 10 10 0 10


Fiscal Year Actual Value 9 10 17 20Score 7.33 6.67 4.85 3.94











3.1.

1 - U

AT

138th FAB & subordinate units

138th FAB, HHB

138th SIG Co

2138th FSC (155SP)

307th CRC

1-623rd FA BN (HIMARS)

1-623rd FA BN (HIMARS)203rd FSC (HIMARS)

2-138th FA BN (155SP)

2-138th FA BN (155SP)

202nd Band

75th Trp Cmd & subordinate units

1-149th IN BN

1-149th IN BN

1149th FSC (IN)

116rd MED CO

Structure

63rd TAB & subordinate units

63rd TAB, HHC

133rd MPAD

48





















Fiscal Year Actual Value 6Score 3

149th MEB & subordinate units

3.1.

1 - U

AT

149th MEB, HHC

149th SIG CO

138th FAB & subordinate units

Structure

577th ESC

2016st MRBC

940th MP CO (CS)1103rd MP DET (L&O)

201st EN BN

201st EN BN

149th VCC

207th HCC

198th MP BN

198th MP BN, HHD223rd MP CO (CS)438th MP CO (G)617th MP CO (CS)

301st CBRN CO

149th BSB 149th BSB

2113th TRANS CO (MDM)

103rd CM BN

103rd CM BN, HHD299th CBRN CO

103rd BSB 103rd BSB

2123rd Trans Co (MDM)

49








Fiscal Year Actual Value 8 9 5 2Score 5 4.44 6.67 9.17







Structure

149th MEB & subordinate units

149th MEB, HHC

149th SIG CO

JFHQ Units 1809th TDT

1988th CCT

441st ESDT

613th EF DET

1123rd ESC

130th ESC

177th FFTG

178th FFTG

176th FFTG

206th EN BN

206th EN BN

118th ESP

A

Glossary AA - Descriptive Designator for a

Parent Unit AAAA - Army Aviation Association of

America AAM - Army Achievement Medal AAR - After Action Review AASF - Army Aviation Support Facility ACOE - Army Communities of Excellence ADP - Army Doctrine Publication ADRP - Army Doctrine Reference

Publication AFP - Annual Funded Program AGM - Army Gold Master AKO - Army Knowledge Online AOAP - Army Oil Analysis Program AR - Army Regulation ARCOM - Army Commendation Medal ARIMS - Army Records Information

System AT - Annual Training AUVS - Automated Unit Vacancy System BDE - Brigade BG - Brigadier General BN - Battalion BNGC - Boone National Guard Center CAC - Common Access Card CALL - Center for Army Lessons Learned CBRNE - Chemical, Biological,

Radioactive, Nuclear, Explosive CEOC - Commonwealth Emergency

Operations Center CERFP - CBRNE Enhanced Response

Force Package CFR - Code of Federal Regulation CIF - Central Issue Facility CO - Company

- Company (Grade) Officer - Commissioned Officer

COA - Course of Action COCOM - Combatant Commander CON - Certification of Net worthiness CONUS - Continental United States COOP - Continuity of Operations CoJS - Chief of the Joint Staff COTS - Commercial Off-the-Shelf CRE - Command Readiness Evaluation

CSMS - Consolidated State Maintenance Shop

CST - Civil Support Team CTC - Combat Training Center CUB - Commander's Update Brief DA - Department of the Army DAG - Deputy Adjutant General DEERS - Defense Enrollment Eligibility

Reporting System DIACAP - DoD Information Assurance

Certification & Accreditation Process

DISA - DoD Information Security Agency

DMA - Department of Military Affairs DMOSQ - Duty Military Occupational

Specialty Qualification DoD - Department of Defense DOMOPS - Domestic Operations DPI - USPFO Data Processing DPRO - Director’s Personnel Readiness

Overview DRC - Dental Readiness Classification DRRS - Defense Readiness Reporting

System DSCA - Defense Support to Civil

Authorities DST - Decision Support Tool DTMS - Digital Training Management

System EANGKY - Enlisted Association National

Guard of Kentucky ENGIS - Enhanced National Guard

Inspection System EOC - Emergency Operations Center EQCC - Environmental Quality Control

Committee ESF - Emergency Support Function ETS - Expiration Term of Service FAR - Federal Acquisition Regulations FECA - Federal Employee Compensation

Act FLIPL - Financial Liability Investigations

of Property Loss FM - Field Manual FMC - Fully Mission Capable

B

FMS - Field Maintenance Shop FMSWeb - Force Management System

Website FORSCOM - United States Forces Command FOUO - For Official Use Only FRAGO - Fragmentary Order FY - Fiscal Year G1 - KYARNG Personnel

Director(ate) G2 - KYARNG Intelligence

Director(ate) G3 - KYARNG Operations, Training

& Mobilization Director(ate) G4 - KYARNG Logistics Director(ate) G5 - KYARNG Strategic Plans

Director(ate) G6 - KYARNG Information

Director(ate) Gal - Gallon GCSS-A - Global Combat Support System-

Army GFEBS - Global Fund Enterprise Business

System GO - General Officer GTC - Government Travel Card HIPPA - Health Information Privacy and

Portability Act HRO - Human Resource Office IASO - Information Assurance Security

Officer ICE - Interactive Customer Evaluation IDT - Inactive Duty Training IG - Inspector General IGAR - Inspector General Action Report ILE - Intermediate Level Education INCAP - Incapacitation ISM - Installation Service Module ITIL - Information Technology

Information Library ITSM - Information Technology Service

Management JFHQ - Joint Forces Headquarters JISCC - Joint Incident Site

Communication Capabilities JFLCC - Joint Forces Land Component

Commander

JOC - Joint Operations Center JSO - Joint Support Operations JRTC - Joint Readiness Training Center JTIMS - Joint Training Information

Management System KCMJ - Kentucky Code of Military

Justice KEWS - Kentucky Early Warning System KNGR - Kentucky National Guard

Regulation KSP - Kentucky State Police KWH - Kilo Watt hour KYARNG - Kentucky Army National Guard KYEM - Kentucky Emergency

Management Division KYNG - Kentucky National Guard LIW - Logistics Information Warehouse MSC - Major Subordinate Command MDMP - Military Decision Making

Process MEF - Mission Essential Functions METL - Mission Essential Task List MEVA - Mission Essential Vulnerable

Area MILCON - Military Construction MILSTRAP - Military Standard Transaction

Reporting and Accountability Procedures

MMBTU - One thousand British Thermal Units

MOB - Mobilization MRB - Medical Review Board MRC - Medical Readiness Classification MSC - Major Subordinate Command MTOE - Modified Table of Organization

and Equipment NAS - Network Area Storage NCOER - Noncommissioned Officer

Evaluation Report NET - New Equipment Training NET-USR - Web based Unit Status Report NGAKY - National Guard Association of

Kentucky NGB - National Guard Bureau NGCS - National Guard Civil Support NGR - National Guard Regulation

C

NTC - National Training Center OCIE - Organizational Clothing and

Equipment OCONUS - Outside the Continental United

States ODT - Overseas Deployment Training OER - Officer Evaluation Report OIP - Organizational Inspection

Program OPM - Office of Personnel Management OPORD - Operations Order OSJA - Office of the Staff Judge

Advocate P - Needs additional practice PAA - Procurement of Ammunition,

Army PBAC - Program Budget Advisory

Council PESTEL - Political, Economic, Socio-

cultural, Technological, Environmental, and Legal

PHI - Personal Health Information PII - Personally Identifying

Information PME - Professional Military Education POI - Program of Instruction POTC - Plans, Operations and Training

Conference QRB - Quarterly Readiness Brief QSI - Quality Step Increase QTB - Quarterly Training Brief RL1 - Readiness Level One RL2 - Readiness Level Two RL3 - Readiness Level three RAID - Redundant Array of Individual

Disks RCAS - Reserve Component Automation

System REFRAD - Return from Active Duty RTI - Regional Training Institute SAD - State Active Duty SAMS-E - Standard Army Maintenance

System - Enhanced SAN - Storage Area Network

SAR - Systems Access Request SL1 - Skill Level One SL2 - Skill Level Two SL3 - Skill Level Three SIDPERS - Standard Installation Division

Reporting System SOH - Safety and Occupational Health SOHAC - Safety and Occupational Health

Advisory Council SOP - Standard Operating Procedure SPP - Strategic Planning Process

- State Partnership Program SQL - Simple Query Language SRM - Sustainment Restoration and

Modernization SRC - Standard Requirements Code SRP - Soldier Readiness Processing SSP - Sustained Superior Performance SSC - Senior Service College

- Senior Steering Committee SSD - Structured Self-Development Std - Standard SWOT - Strengths, Weaknesses,

Opportunities, and Threats T - Trained TAG - The Adjutant General TDA - Table of Distribution and

Allowances TM - Trademark TMDE - Test, Measurement & Diagnostic

Equipment U - Untrained UAT - Unit Assessment Tool UMR - Unit Manning Roster USR - Unit Status Report USPFO - United States Property and Fiscal

Office UTP - Unit Training Plan VM - Virtual Machine VPN - Virtual Private Network VSAT - Very Small Aperture Terminal WAN - Wide Area Network WHFRTC - (Senator) Wendell H. Ford

Regional Training Center WO - Warrant Officer

Appendix A – JFHQ-KY Opportunity for Improvement

Appendix A - I

1. Category One 1.1.a.(2) It is not evident the applicants’ senior leaders have a systematic, effective process to

demonstrate their commitment to legal and ethical behavior. As a result, the workforce may not be fully committed to the organizational value of “Professional” identified in the Organizational Profile.

Action to Improve:

SIPOC modelling to identify the process and KEY outputs.

Find action on page 1 of the application.

1.1.b. It is not evident the applicants’ senior leaders have a systematic, effective process to communicate with and engage the entire workforce and key customers. As a result, the organization’s workforce capability may not be aligned with its mission of a relevant, ready force prepared to respond to federal and state missions identified in the Organizational Profile.

Action to Improve:

Refined process to engage workforce & key customers.


2. Category Two 2.1.a.(1) Although the applicant evaluates its strategic planning process during step 13 of their

strategic planning process, it does not appear this evaluation is systematic and fact-based. As a result, the organization may miss opportunities to implement meaningful change in order to address, for example, its strategic Operations challenge of force structure reduction which may lead to a degradation of the organization’s ability to achieve its strategic objective of Readiness.

Action to Improve:

Evaluation resulted in changes to the strategic planning process: implementation of the senior steering committee and a PESTEL external scan.

Find action on page 6 of the application. 2.1.b.(1) The applicant does not provide key strategic objectives and a timetable for achieving them.

Strategic objectives represent aims that are measurable, outcome-oriented, and define what the organization must achieve to be successful in the future. As a result, leaders may find it difficult to communicate expectations and align workers to achieve high levels of performance and meet customer expectations.

Action to Improve:

Although the examiners missed the inclusion of the timetable for achieving the strategic objectives, the lines of effort and/or objective timetables are highlighted in RED font for ease of viewing.


3. Category Three 3.1.b. It does not appear the organization has effective processes in place to acquire

customer satisfaction, dissatisfaction and engagement feedback with the services, or programs identified in the Organizational Profile. As a result, the organization may not know which of its many programs and services meet the needs and expectations of its customers and which do not, resulting in wasted resources of all types.

Appendix A – JFHQ-KY Opportunity for Improvement

Appendix A - II

Action to Improve:

Analyzed and defined existing process and identified USR feedback as the primary means to acquire customer satisfaction/dissatisfaction for the federal customer. SIPOC modelled the state active duty process for the state customer and identified unit level and military support office (MSO) level AAR’s as the means to acquire customer satisfaction/dissatisfaction.

Find action on pages 14-16 of the application.

4. Category Four 4.2.b.(1) Although the applicant has a systematic process to manage organizational knowledge, it is

not evident the process is effective, for example, identifying and capturing the workforce knowledge needed to execute its work processes. Failure to effectively manage organizational knowledge, could contribute to decisions made that do not capitalize on its core competency of Soldier Readiness.

Action to Improve:

KM SIPOC developed, KMO appointed, KM working group appointed.

Find action on page 22-23 of the application.

5. Category Five 5.2.a.(2) Although the organization has various activities to support workforce engagement and

performance management, it does not appear the activities represent effective, systematic processes. As a results, leaders may experience lower levels of worker productivity and commitment that can impact overall organizational performance.

Action to Improve:

Workforce engagement and development SiPOC model completed.


6. Category Six 6.1a(2) Although the organization appears to have a process to design its training products

and key work processes, it is not evident if an effective, systematic process in place to design most of the key work process outlined in P.2c.2. Ineffective design processes may reduce organizational performance and productivity and increase customer dissatisfaction and contribute to costly rework.

Action to Improve:

Product design, KEY work processes, and process design & development process SIPOC modelled and aligned.


Appendix B - I

Appendix B – JFHQ-KY Diversity Management a. Policy: Executive Order for Diversity 13583, 23 August 2011, established a coordinated government wide initiative to promote diversity and inclusion in the federal workforce. Chief National Guard Bureau Instructions, 14 December 2015, established the Joint Diversity Executive Council (JDEC) at the National Level to all National Guard (NG) elements. The National JDEC and its subordinate boards fulfill advisory responsibilities for the CNGB by developing and implementing a NG Diversity and Inclusion Strategic Plan. b. Organizational Senior Leader Champion: MG Stephen R. Hogan, KY-TAG, re-appointed two Organizational Senior Leader Champions, BG Benjamin F. Adams III, Chief of the Joint Staff and Brig Gen Steven P. Bullard, KY Air National Guard Chief of Staff. They co-chair the Kentucky Joint Diversity Executive Council (JDEC). Brig Gen Bullard was selected to serve as the Vice Chair of the NGB Southeast Region effective October 2016. c. Organizational Training: As of 01 January 2017, KYNG is GREEN (80%), reference jointservicesupport.org, with an approved charter, appointed JDEC membership, senior leadership involved in at least three community outreach events and an assigned Community Outreach Coordinator.

d. Publication: The Public Affairs Office of the KYNG publishes a quarterly magazine, the Bluegrass Guard. Routinely, stories of diversity and inclusion are published within the magazine. Additionally, the KYNG publishes a monthly newsletter, the Diversity Turret and maintains the Kentucky National Guard Diversity Facebook page.

e. Community Outreach, Coordination, and Collaboration: The KYJDEC Chairs collaborate with the SDIA, EOAs, and subcommittee members during quarterly meetings. Members of the committee include Major Subordinate Command Equal Opportunity Advisors, Training, Procedures/Awards, Mentoring, Community Outreach, Recruiting Retention, and Public Affairs. Additionally, EOAs conduct annual Equal Opportunity Leader Course (EOLC) classes. EOAs and EOLs collaborate monthly to create special observance static board displays and publish information within unit newsletter related to diversity and inclusion. The KYNG conducts an annual diversity and inclusion day to promote diversity and inclusion within our organization. f. Awards and Recognition: There were no national DOD awards during this fiscal year. g. Succession Planning: The JDEC meets quarterly to provide guidance to shape and drive forward the National Guard's diversity initiatives to advise the Adjutant General, Senior Commanders, Recruiting and Retention Command, and managers on cultivating and maintaining best practices in the area of diversity and inclusion. h. State Joint Diversity Council: The KYNG JDEC was chartered in June 2012. In June 2015, select KYARNG & KYANG personnel from the JDEC conducted a joint strategic planning session which established the following, derived from the Kentucky Joint Diversity Executive Council (KYJDEC) Charter. In June 2015, select KYARNG & KYANG personnel from the JDEC conducted a joint strategic planning session which established the following, derived from the Kentucky Joint Diversity Executive Council (KYJDEC) Charter and NGB Goals.

Appendix B - II

Mission: KYNG establishes and fosters a diverse culture that focuses on mission readiness by encouraging collaboration and inclusion leveraging the talents and strengths of each Soldier, Airmen and Civilian. Vision: KYNG will embrace our Commonwealth’s diverse culture and reflect our communities. Commanders and leaders will afford all members the opportunity to maximize their potential and optimize mission readiness.

Values:

1. Equality-Affording opportunities to all members based their merit, experience, and talent 2. Inclusion-Fostering a positive work environment that promotes and respects ours differences

and similarities, both seen and unseen 3. Integrity-Worthy of the Commonwealth’s trust; transparent, accountable, and reliable 4. Respect-Sincere actions that demonstrate our commitment to our mission and each other

DIVERSITY & INCLUSION STRATEGIC GOALS: 1. Human Capital. Recruit and retain from a diverse, qualified group of potential applicants to secure a high performing workforce drawn from all segments of the Commonwealth to enhance readiness and mission accomplishment. Effectively leading diverse groups will become a core competency across the Kentucky National Guard.

2. Workplace Inclusion. Improve transparency so that service members and civilian employees understand performance expectations, promotion criteria and processes, cultivating a culture that encourages collaboration, flexibility and fairness allowing individuals to contribute to their full potential, thereby enhancing retention. The SJDEC sub-committee for mentoring is actively collaborating to standardize a program that fulfills the development and mentoring needs of our KYARNG Soldiers. The ARNG Chief of Staff also conducts annual mentoring sessions with newly hired 1SGs and Company Commanders. Additionally, he conducts this same training with the BDE AOs and the JDEC committee members. 3. Sustainability. Develop structures and strategies to equip leaders with the ability to manage diversity, be accountable, measure results, refine approaches on the basis of such data and institutionalize a culture of inclusion. The KY Air National Guard has a four-part rotating mentoring series program that is offered monthly. This program competes with all other training events and is marketed base wide in many facets as an opportunity for personal development.

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