Cap Case Study - Isc New London - Site Visit Worksheet - 2008 - Cat 2 Only

2008 CPEC AWARD PROCESS (PILOT) SITE VISIT WORKSHEET (CASE STUDY: ISC NEW LONDON)
Item 2.1 Item Score (in 5% increments): %

Key Factors:
1. Unit Key Outcomes are aligned to the Coast Guard Strategic Plan focused on Personnel Readiness and Systems Availability.
6. Unit mission is “We provide superior customer service to accomplish Coast Guard missions anytime, any place with dedication, foresight,
innovation, and a commitment to our Core Values.
21. ISC New London receives customer and stakeholder input to its strategic planning process through the use of a formal needs survey, participation
in weekly D3 staff meetings, and regular communications with Program Managers within the MLC.
35. Unit has an Executive Steering Committee (ESC) that reviews the Strategic Plan, sets and prioritizes goals and objectives, and tracks overall
performance.
36. ESC publicizes the strategic plan annually, and the minutes from each ESC meeting are posted for all hands on the CG Central unit page.
37. Unit metrics are aligned to its performance goals and objectives and posted in CG Central for all hands.
38. ESC solicits input from key customers and stakeholders for the annual strategic planning process.
Strengths (bold entire row for ++ comments) add comment rows by tabbing in last column, last row of table.
Item Key Factor-based
Criteria Examples A D L I
Ref Importance (only for ++)
2.1.a(1) The unit conducts strategic • Unit has a strategic plan, ISCNLNINST 21. ISC receives customer and A D L I
planning. It’s key processes 16000.1I dtd 6 DEC 2007. This is the 9th stakeholder input to its
and key participants are: iteration of a strategic plan for this unit. strategic planning
• Key participants in the strategic planning process through the
process are the members of the ESC. use of a formal needs
• The process for developing the strategic plan is survey, participation in
a four-step strategic planning cycle which weekly D3 staff
includes a review and revision of the meetings, and regular
guiding documents, an assessment of the communications with
current situation and identification of key Program Managers
issues, definition of objectives, metrics, within the MLC.
targets, and action items, and plan
execution.
• The strategic plan is aligned with higher
authority including MLCA and COMDT.
• Development of the strategic plan includes
formal process to include input from key
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stakeholders including MLCA ISC program
manager, D3, and unit commanding
officers of customer units.
2.1.a(1) The unit's strategic planning • The strategic planning process assessment of A D L
process identifies potential current situation includes input from all
blind spots. unit members to identify SWOT.
• Potential blindspots are identified through the
use of input from a broad range of internal
and external stakeholders including unit
workforce, program managers, customers,
operational commanders.
• The annual commanders’ survey provides
additional potential blind spots.
2.1a(1) The unit determines its • The unit has identified 6 key issues which A D L I
strategic challenges and impact the unit and its strategic position:
advantages, as identified in - Consistency
response to P.2 in the - WPB needs
Organizational Profile. - A-76 (primarily currently re/ industrial)
- External communications with
stakeholders
- Preparedness
- Contribute to CG readiness throughout
the D3 AOR
2.1.a(1) The unit's short- and longer-term • The short term planning time horizon is 1-3 months;
planning time horizons are: the longer-term planning time horizon is 12-18
months.
2.1.a(1) The unit sets and addresses the • The strategic planning process ensures time horizons
time horizons through its are set. The planning process identifies
strategic planning process. goals/objectives; from these, and the strategic
key items, cross-cutting action items are
developed by the ESC and divisional action
items are developed by division officers. The
action plans are addressed with time horizons.
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2.1.a(2) The unit addresses and collects
and analyzes relevant data and
information on the following key
factors as part of the strategic
planning process:
2.1.a(2) • Unit Strengths, • SWOT is completed during the strategic A D L I
Weaknesses, Opportunities, planning process in step 2 of the unit’s
and Threats (SWOT) process.
2.1.a(2) • Early indications in major • The ongoing, active listening to the customer – A D L I
shifts in technology, through the MLCA survey, the annual
markets, customer Commanders’ Survey, and participation in
preferences, competition, or customer program manager conferences –
the regulatory environment ensures that the unit is warned of early
indications of shits in customer
preferences.
2.1.a(2) • Long-term organizational • The unit-mandated mentoring program and Commandant- A
sustainability mandated IDP program help ensure development of unit
members to grow professionally ensuring the long-term
sustainability of the Coast Guard.
• No real plan for long-term organizational sustainability.
2.1.a(2) • The unit’s ability to execute • The strategic planning process takes into
strategic plan consideration the abilities of the unit and unit
members to execute the plan.
2.1.b(1) The unit's key strategic objectives • The strategic plans objectives are defined to support
and timetable for accomplishing specific goals.
them are: • Personal Readiness Goal
- Deliver exportable training to D3 AOR
personnel.
- Ensure reservists’ readiness
- Ensure active duty readiness
• Systems Availability Goal
- Deliver effective maintenance and repair
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services to WPB fleet.
- Ensure Finance & Procurement Desktop
(FPD) outages/errors reported to FINCEN.
• Responsiveness Goal
- Deliver services on time.
- Deliver quality services through consistent,
efficient, and well communicated processes.
- Collect and act on feedback
• Preparedness Goal
- Review and exercise plans.
- Ensure our personnel receive all mandated
training, are trained for their jobs, and are
trained for contingency support roles. (Note
about this objective: WQSB for p-div posted
outside office)
• Stewardship Goal
- Account for appropriated resources.
- Comply with established standards, policies,
and regulations.
- Support the local community and be a great
neighbor.
- Use work hours efficiently.
- Use fiscal resources efficiently.
• Work Environment Goal
- Ensure safety of personnel
- Quickly and appropriately reward exceptional
performance.
- Promote health of personnel.
- Promote employee satisfaction and superior
leadership.
• Timetables are not included in these goals and
objectives. These goals and objectives are long
lasting; they are not one-off programs or
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projects which will be “completed.” The
associated action plans have time horizons,
however.
2.1.b(1) The unit's most important goals • Note: The Criteria hierarchy is
for its strategic objectives are: Objectives Æ Goals;
the unit’s hierarchy is Goals Æ Objectives.
• See above for list of goals and objectives.
2.1.b(2) The unit's strategic objectives • The unit’s objectives and goals address the key issues
address its strategic challenges as indicated in the strategic plan. The key
and strategic advantages. issues are the strategic challenges and strategic
advantages.
2.1.b(2) The unit's strategic objectives • The unit’s strategic planning process identifies A D L I
address its opportunities for key issues. Key issues identified in FY07
innovation in products and allowed the ESC to find value-added
services, operations, and the opportunities which let to divisional BIG
business model. Goals, including the Long Island Sound
small boat roundup and the YN1 mini-C
school.
• Customer feedback provides opportunities for
innovation .
• The units objectives (Criteria “goals”) are broad
enough to allow for innovation.
2.1.b(2) The unit ensures its strategic • An integrated system of meetings at multiple levels
objectives balance short- and of the organization ensure that short and
longer-term challenges and longer-term challenges and opportunities are
opportunities. met in a planned and focused manner.
- ESC meetings, which focus on longer-term
issues.
- Command staff meetings focus on short-term
issues and challenges.
- Division meetings focus on the short term.
• Gaining balance is helped by participation in
customer conferences such as ATON, work
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definition, engineering officer, RPA, etc.
• Specific measures drive short-term actions/goals.
Broad-based measures drive future looking
goals or key issues. Example: a poor scored in
preparedness results in a key issue of
preparedness and actions to close the gap.
2.1.b(2) The unit ensures its strategic • The unit’s strategic planning process includes A D
objectives balance the needs the opportunity receive stakeholder input.
of all key stakeholders. The strategic plan appears to balance the
needs of the key stakeholders.
OFIs (bold entire row for -- comments) add comment rows by tabbing in last column, last row of table.
Item Key Factor-based So What
Ref (for each)
•
•
•
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Item 2.2 Item Score (in 5% increments): %

Key Factors:
1. Unit Key Outcomes are aligned to the Coast Guard Strategic Plan focused on Personnel Readiness and Systems Availability.
6. Unit mission is “We provide superior customer service to accomplish Coast Guard missions anytime, any place with dedication, foresight,
innovation, and a commitment to our Core Values.
21. ISC receives customer and stakeholder input to its strategic planning process through the use of a formal needs survey, participation in weekly D3
staff meetings, and regular communications with Program Managers within the MLC.
35. Unit has an Executive Steering Committee (ESC) that reviews the Strategic Plan, sets and prioritizes goals and objectives, and tracks overall
performance.
36. ESC publicizes the strategic plan annually, and the minutes from each ESC meeting are posted for all hands on the CG Central unit page.
37. Unit metrics are aligned to its performance goals and objectives and posted in CG Central for all hands.
38. ESC solicits input from key customers and stakeholders for the annual strategic planning process.
Strengths (bold entire row for ++ comments) add comment rows by tabbing in last column, last row of table.
2.2a(1) The unit develops and deploys • The unit develops action plans at two levels: at A D L
action plans throughout the the ESC level for cross-cutting issues and at
organization to achieve its key the division level (BIG Goals) for division-
strategic objectives. specific issues.
2.2a(1) The unit ensures that key • Plans developed are developed with resources and
outcomes of its action plans can sustainment in mind.
be sustained.
2.2a(2) The unit ensures that adequate • For the most part, the bulk of financial resources
financial and other resources are dedicated to action plans are for travel and
available to support the training.
accomplishment of its action • Discussion of the budget, including prioritization,
plans. leads off all staff meetings for the prioritizing of
expenditures.
2.2a(1) The unit allocates resources to • Resources are allocated by the ESC, the command
ensure accomplishment of action staff, and/or the Resource Board in order to
plans. ensure action plan completion.
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2.2a(2) The unit assesses the financial • Plans are discussed by the appropriate personnel in
and other risks associated with order to assess various forms of risk including
the plans. financial. ESC action plans are discussed at the
ESC level. BIG Goals are discussed at the
command staff meetings and also at one-on-
one meetings with the division officer and the
commanding officer or the executive officer.
• The Resource Board has only met formally once in
the last several years.
2.2a(2) The unit balances resources to • The unit’s senior personnel work together to balance
ensure adequate resources to resources to ensure current obligations.
meet current obligations.
2.2a(3) The unit establishes and deploys • The command staff meets on a regular basis; part of
modified actions plans if the purpose of these meeting is to review
circumstances require a shift in ongoing action plans and modify those plans if
plans and rapid execution of new conditions warrant.
plans.
2.2a(4) The unit’s key short- and longer- • The unit’s short term action plans are called Action
term action plans are: Items (are these the ESC action items?)
• The unit’s longer-term action plans are the Division
BIG Goals.
2.2a(4) The key planned changes ,if any, • No key changes “planned” … HOWEVER
in the unit’s products and • The Coast Guard’s modernization initiatives will
services, customers and markets, have a direct impact on the unit’s organization
and how the unit will operate are: and mission, as will the implementation of A-
76. The specifics of modernization have yet to
be spelled out, so the unit is unable to plan how
to meet the challenges with modernization and
the impact on operations and service/product
delivery.
• At the very least, the A-76 process is going to strip
the Maintenance Assist Team (MAT) out of the
Industrial Division and place the MAT as a
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subordinate entity of NESU New York; the
MAT’s work will be solely dedicated to
CASREP response and performance of PMS
(preventative maintenance). Unit personnel
are involved in the preliminary planning for the
A-76 process and believe that after the MAT is
stripped out of the industrial facility, additional
billets will be added to the industrial in order to
ensure that there are enough billets to complete
dockside work. At present, the unit does 4 to 5
dockside availabilities for D3 patrol boats.
MLCA naval engineering determines if any
docksides will be handled by commercial yards.
The unit’s participation in the dockside process,
known as the “availability process” or “A-Team
process” begins at the work definition stage.
• OFI: Preparation for modernization, but this requires
decisions at the CG enterprise level being made and then
transmitted to the unit’s command.
2.2a(5) The unit’s key human resource • In the “what questions” document, the unit has
plans to accomplish its short- indicated that these plans are “identified in
and longer-term strategic action items under resources and in Division
objectives and action plans are: BIG Goals.”
• The BIG Goals associated with P-division are:
- Improve the services provided by ISC
Medical;
- Provide support and training services to all
units in 4-state AOR;
- Provide 100% GMT to outlying units;
- Provide superior services to customers
coming in for ID card services.
• NOTE: All of these plans are externally focused.
Additional plans at the ESC-level include some
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plans which are HR, internally-focused:
- Manpower utilization;
- Training and qualifications;
- IDP Implementation;
- Informal recognition of employees and
members;
- Customized IDP templates for ISC NLN;
- Unit orientation for new employees &
members;
- Local resources for families of deployed
members; and
- Off-Duty education
2.2a(5) The unit’s plans address potential • The action plans at the division and ESC level consider A
impacts on people in their workforce impacts to workforce.
and any potential changes to workforce • The action plans, however, do not consider potential future
capability and capacity needs. changes in the environment which include the impending
modernization initiatives.
2.2a(6) The unit’s key performance • The unit tracks status of ESC goals at the ESC level,
measures or indicators for including producing and publishing an “action
tracking progress on its action item tracker.”
plans are: • The divisional BIG Goals are tracked by the division
officer and the information presented on a
regular basis to the commanding officer and
executive officer.
• The primary tracking of action plans is progress.
2.2a(6) The unit ensures that its overall • The measurement systems associated wit h the
action plan measurement system action plans following the organization’s chain
reinforces organizational of command and support organizational
alignment. alignment through open dialogue and frequent
communications.
2.2a(6) The unit ensures that its • The unit uses a balanced scorecard approach and
measurement system covers all ensures that action plans hang off the scorecard
key deployment areas and as well as the strategic plan (including the
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stakeholders. strategic key items which serve as additional
drivers).
2.2b The unit’s performance • The indicators are green.
projections for short-and longer- • Determination of the appropriate levels (green,
term planning time horizons for yellow, red) are made by reviewing higher level
key performance measures or program management guidance coupled with
indicators in 2.2a(6) are: educated guesses made by the subject matter
experts and senior staff.
2.2.b The unit determines performance • The unit does not generally use performance projections; most A
projections for short- and longer-term of the focus is on a historical view or a snapshot of the
planning time horizons for key current indicators.
performance measures or indicators in
2.2a(6).
2.2b The unit’s projected performance • Again, no projected (forward looking) performance. A
compares with the projected • Historical data for comparison is available and used
performance of its competitors in a variety of performance areas including the
or comparable organizations. MLCA customer survey tool which has data for
all those units using the tool, CGBI for
personnel readiness issues, BMTS for budget
performance including accounting and spend-
down, property comparison, industrial dockside
for ISC-provided services compared to
commercial services, and Reserve readiness as
established through the Weashe Award
measures.
2.2b The unit compares itself with key • The unit uses comparative data, where available, for
benchmarks, goals, and past key goals and past performance including data
performance, as appropriate. available in CGBI and through the MLCA
customer survey instrument. Examples of
these comparative data include Force
Optimization & Training information, housing,
and SPO.
• The unit compares itself with past performance in
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tracking timeliness of purchase requests (PR)
through the use of the FIRST database. In
addition to regular reviews by employees and
supervisors, the procurement staff meets twice
monthly to review progress on PR completion
and to ensure performance is acceptable.
• The unit also tracks purchase card timeliness for
audit completion and submission of required
documents by purchase card holders.
Comparisons are made with the past and
actions implemented to better timeliness and
open discrepancies.
2.2b The unit ensures progress so that it will • Again, projections are nearly non-existent. A
meet its projections.
2.2b The unit addresses any current or • In limited areas, such as Reserve readiness and industrial A
projected gaps in performance against activities, the unit examine current gaps against
its competitors or comparable competitors (industrial) and comparable (pf)
organizations. organizations in order to improve performance.
OFIs (bold entire row for -- comments) add comment rows by tabbing in last column, last row of table.
Item Key Factor-based So What
Ref (for each)
•
•
•
•
ADDITIONAL RANDOM NOTES:

Category 6: There’s plenty of room for efficiencies and effectiveness in the industrial’s machine shop. With the proposal for ISC NLN to
take on all machinery production for the Coast Guard, a continuous improvement (CI) event would make the shop more efficient and
effective. The CI event could take a number of forms. A likely successful CI model would be to complete a 5-S event. In addition, there
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may be room for future improvement by conducting some sort of knowledge management (KM) initiative to capture tacit knowledge
held by long-employed civilian employees working in the carpenter shop. A possible KM initiative would be a story-interview ala
Lockheed Martin.
Systemic Issue: The unit has mandated Individual Development Plans (IDP) for all personnel, in addition to just those who are
Commandant-mandated to have IDP. By tracking all hands on IDP completion in the Training Management Tool (TMT), the unit
drove down the completion rate. In trying to find a way to track IDP completion in TMT, the unit has been unable to strip out the non-
mandatory-use personnel and maintain tracking in TMT. The only way for the unit to track non-mandatory completion in TMT without
using the mandatory-IDP pull-down option in TMT is to use the miscellaneous drop-down. The unit requested that a TMT non-
mandatory/second term pull-down option, but this was denied by CG-1XX or whomever owns TMT. The unit is thus unable to track all
hands with IDP completion in TMT without making their TMT numbers based on all hands putting them at a disadvantage when
performance is compared with other units. If the IDP is truly important for professional development for Coast Guard personnel, the
enterprise ought to add a method so units can track IDP completion for all hands.
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Cap Case Study - Isc New London - Site Visit Worksheet - 2008 - Cat 2 Only

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2008 CPEC AWARD PROCESS (PILOT) SITE VISIT WORKSHEET (CASE STUDY: ISC NEW LONDON)

Item 2.1 Item Score (in 5% increments): %

Item 2.2 Item Score (in 5% increments): %

ADDITIONAL RANDOM NOTES:

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