1. NEW YORK ARMY NATIONAL GUARD Organizational Self-Assessment Workshop Mr. Edwin Perez ARNG G5 Business Transformation Office 6-8 April 2015Day 1

2. NEW YORK ARMY NATIONAL GUARD Introductions Name (How do you want to be called): Military Position: Position in the ACOE: Years of Experience in the ACOE program: How do you feel today? (Why): - Like a prisoner - Like a tourist - Like a student - Other - Expectations

3. PARKING LOT GROUND RULES NEW YORK ARMY NATIONAL GUARD

4. Introduce the updated Baldrige Excellence Framework Criteria Review the NYARNG 2014 ACOE Feedback Report Provide recommendations to improve the NYARNG processes Identify gaps Get ready to submit the 2015 Organizational Self Assessment

5. NEW YORK ARMY NATIONAL GUARD 2015-2016 A systems approach to improve your organization’s performance For Organizational Self Assessment Baldrige exists to help every organization improve its performance and strive for high performance

6. Guides to help answer one BIG question – “How do you manage your organization?” Fact-based Proven method New Criteria for 2015-2016 What is the Baldrige Criteria? NEW YORK ARMY NATIONAL GUARD

7. NEW YORK ARMY NATIONAL GUARD 2015-2016 Malcolm Baldrige Criteria for Performance Excellence

8. Organizational Profile (Who we are and what we do) 1 – Leadership (How we guide) – 120 Points 2 – Strategy (How we plan and execute) – 85 Points 3 – Customers (Voice of the Customer/Their requirements) – 85 Points 4 – Measurement, Analysis & Knowledge Management (How we get the facts) – 90 Points 5 – Workforce (How we care for our people) – 85 Points 6 – Operations (How we do what we do) – 85 Points 7 – Results (How well we perform) – 450 Points TOTAL 1,000 Points Baldrige Categories NEW YORK ARMY NATIONAL GUARD

9. Criteria for Performance Excellence Structure 9 Glossary of Key Terms (Pages 47-54)

10. Criteria Layout Category 1 - Leadership Item 1.2 Item 1.1 Areas to Address a. Areas to Address b. Areas to Address c. Areas to Address a. Areas to Address b. Areas to Address c. (2) (1) (4) (3) (2) (1) 7 Process and Results Categories 17 Criteria items plus two in Organizational Profile

11. Command Guidance The organizational assessment process is initiated as a directive from leadership Define outcomes Identify Criteria changes Identify OFIs from 2014 review Identify changes to Results (Category 7)

12. Clarify the purpose Level from which the assessment will be written and deliverables Assemble an assessment team Select representatives from a variety of disciplines and areas of your organization Determine an assessment method Develop a process, establish timelines and milestones, allocate resources, and….BEGIN! What do you do?

13. NEW YORK ARMY NATIONAL GUARD CATEGORIES 1-6

14. What are the process categories looking for? Approach Deployment Learning Integration ADLIADLI NEW YORK ARMY NATIONAL GUARD

15. What is an Approach? The methods your organization uses to address the requirements in the Criteria An Approach may be either: a disjointed set of activities, or; a linked set of activities that create a process NEW YORK ARMY NATIONAL GUARD

16. Approach “If you can’t describe what you’re doing as a process, you don’t know what you’re doing” Dr. W. Edwards Deming, Father of the Japanese post-war industrial revival NEW YORK ARMY NATIONAL GUARD

17. Deployment …the breadth and depth of application of the approach to relevant work units throughout the organization. Are the right people in the right places involved in the process? NEW YORK ARMY NATIONAL GUARD

18. Learning “Learning” refers to: Refining your approach through cycles of evaluation and improvement Encouraging breakthrough change to your approach through innovation Sharing refinements and innovations with other relevant work units and processes in your organization NEW YORK ARMY NATIONAL GUARD

19. Integration “Integration” refers to the extent to which Your approach is aligned with your organizational needs identified in the Organizational Profile and other process items Your measures, information, and improvement systems are complementary across processes and work units Your plans, processes, results, analyses, learning, and actions are harmonized across processes and work units to support organization-wide goals NEW YORK ARMY NATIONAL GUARD

20. 20 Flow Chart Symbols Start/Finish Decision Point Step Cat 2 Connectors Input or output to another process

21. Process Mapping The term “process” refers to linked activities with the purpose of producing a product or service (outcome) Leadership Process Receive Guidance Environmental Scan Develop Guidance Deploy Guidance Performance Meetings Following Guidance? Annual AAR Change Process? Implement Changes No Yes

22. NEW YORK ARMY NATIONAL GUARD Practical Exercise In your groups develop a process to take and pass your next APFT Each group will evaluate the processes presented and provide recommendations for improvement

23. NEW YORK ARMY NATIONAL GUARD CATEGORY 7 RESULTS Percent of Units meeting NYARNG Equipment Readiness Standards

24. What is the results category looking for? Levels Trends Comparisons Integration LeTCILeTCI

25. Levels …numerical information that places or positions an organization’s results and performance on a meaningful measurement scale. Performance levels permit evaluation relative to past performance, projections, goals, and appropriate comparisons. NEW YORK ARMY NATIONAL GUARD

26. Trends …numerical information that shows the direction and rate of change for an organization’s results or the consistency of its performance over time. NEW YORK ARMY NATIONAL GUARD

27. Comparisons “Comparisons” refers to: your performance relative to appropriate comparisons, such as competitors or organizations similar to yours your performance relative to benchmarks or industry leaders NEW YORK ARMY NATIONAL GUARD

28. Integration “Integration” refers to the extent to which Your results measures (often through segmentation) address important customer, product, market, process, and action plan performance requirements identified in your Organizational Profile and in process items Your results include valid indicators of future performance Your results are harmonized across processes and work units to support organization-wide goals NEW YORK ARMY NATIONAL GUARD

29.  Respond appropriately “How” – answer with an approach description “What” – answer with a list  Most questions in categories 1-6 are “How” questions. 29 Important things to know (1 of 2) NEW YORK ARMY NATIONAL GUARD

30. If you can’t answer the question that’s a WIN! You’ve learned something about how you can improve your organization. “You’ve got an OFI!!!” Important things to know (2 of 2) NEW YORK ARMY NATIONAL GUARD

31. What do you get from a self-assessment? 1.Criteria Answers – These are strengths 2.OFIs –These are next steps to be taken to improve a process 3.Measures – These are indicators of performance 4.Suggestions – These are ideas NEW YORK ARMY NATIONAL GUARD

32. How do you conduct a self-assessment? 1.Review Criteria questions and gather information 2.Keep a running list of: a.Answers to the Criteria Questions b.Requests for Information (RFIs) c.Opportunities For Improvement (OFIs) – those questions you can’t answer; or can’t answer fully d.Measures - how you measure the important things you do e.Suggestions - those ‘good ideas’ that inevitably surface 3.When the Assessment is complete a.Analyze findings, prioritize OFIs & Suggestions, Plan and b.EXECUTE!!! NEW YORK ARMY NATIONAL GUARD

33. 34 2015-2016 Baldrige Excellence Framework Process Scoring Guidelines (For Use with Categories 1–6) Terms in SMALL CAPS are deined in the Glossary of Key Terms (pages 47-54). SCOREDESCRIPTION 0% or 5% No SYSTEMATIC APPROACH to item requirements is evident; information is ANECDOTAL. (A) Little or no DEPLOYMENT of any SYSTEMATIC APPROACH is evident. (D) An improvement orientation is not evident; improvement is achieved by reacting to problems. (L) No organizational ALIGNMENT is evident; individual areas or work units operate independently. (I) 10%, 15%, 20%, or 25% The beginning of a SYSTEMATIC APPROACH to the BASIC REQUIREMENTS of the item is evident. (A) The APPROACH is in the early stages of DEPLOYMENT in most areas or work units, inhibiting progress in achieving the BASIC REQUIREMENTS of the item. (D) Early stages of a transition from reacting to problems to a general improvement orientation are evident. (L) The APPROACH is ALIGNED with other areas or work units largely through joint problem solving. (I) 30%, 35%, 40%, or 45% An EFFECTIVE, SYSTEMATIC APPROACH, responsive to the BASIC REQUIREMENTS of the item, is evident. (A) The APPROACH is DEPLOYED, although some areas or work units are in early stages of DEPLOYMENT. (D) The beginning of a SYSTEMATIC APPROACH to evaluation and improvement of KEY PROCESSES is evident. (L) The APPROACH is in the early stages of ALIGNMENT with the basic organizational needs identified in response to the Organizational Profile and other process items. (I) 50%, 55%, 60%, or 65% An EFFECTIVE, SYSTEMATIC APPROACH, responsive to the OVERALL REQUIREMENTS of the item, is evident. (A) The APPROACH is well DEPLOYED, although DEPLOYMENT may vary in some areas or work units. (D) A fact-based, SYSTEMATIC evaluation and improvement PROCESS and some organizational LEARNING, including INNOVATION, are in place for improving the efficiency and EFFECTIVENESS of KEY PROCESSES. (L) The APPROACH is ALIGNED with your overall organizational needs as identified in response to the Organizational Profile and other process items. (I) 70%, 75%, 80%, or 85% An EFFECTIVE, SYSTEMATIC APPROACH, responsive to the MULTIPLE REQUIREMENTS of the item, is evident. (A) The APPROACH is well DEPLOYED, with no significant gaps. (D) Fact-based, SYSTEMATIC evaluation and improvement and organizational LEARNING, including INNOVATION, are KEY management tools; there is clear evidence of refinement as a result of organizational-level ANALYSIS and sharing. (L) The APPROACH is INTEGRATED with your current and future organizational needs as identified in response to the Organizational Profile and other process items. (I) 90%, 95%, or 100% An EFFECTIVE, SYSTEMATIC APPROACH, fully responsive to the MULTIPLE REQUIREMENTS of the item, is evident. (A) The APPROACH is fully DEPLOYED without significant weaknesses or gaps in any areas or work units. (D) Fact-based, SYSTEMATIC evaluation and improvement and organizational LEARNING through INNOVATION are KEY organization- wide tools; refinement and INNOVATION, backed by ANALYSIS and sharing, are evident throughout the organization. (L) The APPROACH is well INTEGRATED with your current and future organizational needs as identified in response to the Organizational Profile and other process items. (I)

34. Process Maturity Matrix Sys Eval Cycle of Improvement Innovation Overall Requirements Evaluation Effective Systematic Process 0 - 5 10 - 25 30 - 45 50 - 65 70-100 D e p l o y m e n t I n t e g r a t i o n

35. 20132014 ITEMSEEPITEMSEEC/I 1.1a/1.b0X 1.1 X 1.1a(3)X 1.1b(1)X 1.2a(1)X X 1.2c(1)X X XX 2.1a(1) X 2.1 X 2.1a(2)X 2.1a(4)X 2.1b(1)X X 2.2a(1,2) X2.2a(2)X 3.1a(1)X X X X 3.2a(1)/3.2b(1)X 3.1b(1)X 3.2a(1) X X 4.1a(1)/4.1b/4.1c(1)X 3.2a(2)X 4.1a(2)X 4.1 X 4.2 X 4.1c(3)X 4.2b(1,2,3)X 4.2a(1)X 5.1a X 4.2b(2) X 5.1a(1)/5.1a(3)X 5.1a(2)X 5.2a(3)X 5.1b(1) X 5.2a(3)/5.2c(1) X 5.2b(1)X 6.1a(1)X 5.2c(1) X 6.1a(1) X 6.1a(2) X 6.2aX 6.1b(3) X 6.2bX 12111 1582 Summary of OFIs 2013/2014 SE = Systematic and Effective Process E = Evaluation P= Process C/I = Cycle of Improvement

36. Questions? NEW YORK ARMY NATIONAL GUARD

37. NEW YORK ARMY NATIONAL GUARD

38. Why is the profile important? Sets the context for the rest of the assessment Identifies potential gaps in key information Focuses on key performance requirements Used to understand your organization and what YOU consider most important May be used alone as an initial Self-Assessment NEW YORK ARMY NATIONAL GUARD

39. Organizational Profile P1 – Organizational Description –P.1a Organizational Environment –P.1b Organizational Relationships P2 – Organizational Situation –P.2a Competitive Environment –P.2b Strategic Context –P.2c Performance Improvement System

40. Practical Exercise Organizational Profile 40 Table 1 P.1a Organizational Description Read the organizational profile Compare the organizational profile against the requirements in the criteria Provide recommendations to improve the organizational profile Table 2 P.1b Organizational Relationships Read the organizational profile Compare the organizational profile against the requirements in the criteria Provide recommendations to improve the organizational profile Table 3 P.2a Organizational Situation Read the organizational profile Compare the organizational profile against the requirements in the criteria Provide recommendations to improve the organizational profile Table 4 P.2b,c Strategic Context/Performance Improvement System Read the organizational profile Compare the organizational profile against the requirements in the criteria Provide recommendations to improve the organizational profile

41. NEW YORK ARMY NATIONAL GUARD

42. Questions?

43. Set the Direction NEW YORK ARMY NATIONAL GUARD

44. Leadership 1.1 – Senior Leadership – 1.1a Vision, Values, and Mission – 1.1b Communication and Organizational Performance 1.2 – Governance and Societal Responsibilities – 1.2a Organizational Governance – 1.2b Legal and Ethical Behavior – 1.2c Societal Responsibilities

45. 1.1 Senior Leadership The role of senior leaders Senior leaders as role models

46. 1.2 Governance and Societal Responsibilities Legal compliance Ethics and Risks Public concerns Conservation of natural resources Societal responsibility Community support

47. “Skinny Narrative” Template 47 The Skinny Narrative Is:  the BLUF and answers the “How” criteria question  written to brief Command, it’s precise (accurate, detailed) and concise (brief, overview) 1.Organization 2.Criteria 3.# of steps in the process 4.Identify each step of the process at the macro-level (Approach) 5.Who uses this process or product? (Deployment) 6.How often is the process used? 7.How is the process evaluated and how often? (Learning) 8.What process does the product support? (Integration) The NAARNG Senior Leaders set and deploy the organization’s vision and values using a 6 step process: 1) The TAG and Sr. Leaders conduct an environmental scan using SWOT 2) TAG creates draft vision values 3) Sr. Leaders revise the draft 4) TAG reviews their suggestions/revisions and approves a final cut 5) Mission, vision and values are deployed internally and externally and 6) the whole process is Evaluated annually using AARs. This process is used by the TAG and Sr. Leaders annually. The Mission, vision and values developed and deployed by this process are used inside the organization’s Strategic Planning Meeting.

48. 2d Paragraph Narrative Template 48 The “2 nd Paragraph” Narrative Is:  Written using qualitative and anecdotal evidence (if any) that supports and/or gives depth to the process dimensions identified in the “skinny narrative”.  Capture, in writing, evidence that: 1) shows the process is Effective. 2) specifically describes elements of Learning 3) reinforces or describes with more detail Deployment 4) further identifies or reinforces Integration The MVV is listed in the Organizational Profile (P1.1). This process is evaluated using a 5 step AAR that involves 1) Review of what was supposed to occur 2) Establish what happened 3) Determine what was right or wrong 4) Determine how the task should be done differently next time 5) Deploy improvement course of action. In 2012, the AAR found that the step of revising the draft by the AG experienced a bottleneck that made the process fall behind the agreed upon timeline for completion. This step in the process was stalemating due to too many voices and interpretations from the numerous Directorates present. Senior Leaders made an improvement to the process by having TAG select a fewer number of Sr. Leaders to be involved in the revising of the draft provided by the AG (step #3). After evaluation of the process in 2013, the fewer number of Sr. Leaders proved to be a meaningful change because the step of “revising the draft” was made more efficient and made it easier to gain group consensus. Deployment of MVV to Sr. Leaders and the workforce (internal) are communicated through numerous methods which include OPORDs, FRAGOs, counseling, town halls, written directives and social media. Customers, Suppliers, Stakeholders (external) receive MVV through such mechanisms as one-on-one meetings, briefings, VTCs and social media.

49. Practical Exercise – Category 1 49 Table 1 1.1 Senior Leadership Skinny Narrative Deployment Integration Evaluation & learning When and Why Develop process Determine Score Table 2 1.1b(1) Communication and Organizational Performance Skinny Narrative Deployment Integration Evaluation & learning When and Why Develop process Determine Score Table 3 1.2a(1) Organizational Governance Skinny Narrative Deployment Integration Evaluation & learning When and Why Develop process Determine Score Table 4 1.2b Legal and Ethical Behavior 1.2c(2) Community Support Skinny Narrative Deployment Integration Evaluation & learning When and Why Develop process Determine Score

50. NEW YORK ARMY NATIONAL GUARD

51. 7.4a Leadership and Governance Results Importance of high ethical standards Sanctions or adverse actions NEW YORK ARMY NATIONAL GUARD

52. NEW YORK ARMY NATIONAL GUARD