NGS-HSM_700bl_Module 4_01062009

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    www.ngs.edu | 800.838.2580

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    HSM 700bl Principles and

    Applications in HomelandSecurity & Defense

    Module 4:

    This material is protected by United States copyright laws. You must treat this publication like any other proprietarymaterial. No part of this material may be copied, photocopied, reproduced, translated, or reduced to any electronicmedium by individuals or organizations outside of the National Graduate School without prior written consent fromthe National Graduate School. For information, please call 800.838.2580 or visit www.ngs.edu.

    HS&D Performance Measures & Targets & QSM Applications (Benchmarking, HS&D Six

    Sigma Analysis, HS&D Metric Development), HS&D Intra-agency Cooperation,

    Coordination, Communication & Measuring Success

    http://www.ngs.edu/http://www.ngs.edu/
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    Process of the Benchmarking Class

    Understand process of benchmarking:

    Secondary vs. Primary; Internal vs. External; Strategic, and Operational

    Fast Cycle Benchmarking

    Organize for benchmarking, plan for secondary benchmarking;

    using library and electronic resources and APA Style; Benchmarking

    Code of Conduct

    Complete Secondary Benchmarking,

    Review Integron case study; design

    data collection instrument

    Reach out; Apply Creative Benchmarking;

    Continued planning for benchmarking

    Present plan for Primary

    Benchmarking

    Module

    1

    Module

    2

    Module

    3

    Module

    4

    Module5

    andbeyond

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    Benchmarks

    Benchmark: A standard of excellence or achievement against which

    other products or services can be measured andcompared.

    Can be used to spur exploration into reasons fordifferences, to motivate planning and implementation ofchanges, and to seek continuous improvement.

    Typically, there is not one benchmark, but a set ofbenchmarks or measurements for a product or service.Those metrics can be used to compare a best process,product, or service to your own.

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    Benchmarking

    Benchmarking: A method for identifying, analyzing, and using

    information and experience of other organizations inorder to improve your own business processes,products, or services.

    Note that benchmarking can lead to benchmarks, but thelatter

    metrics can also result from routine reporting in

    an industry, such as cost per unit or revenue perdollar spent.

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    Benchmarking

    Basic Benchmarking Definitions

    Primary Benchmarking-- Comparison of one ormore of an organizations processes directly with

    another organization. Secondary Benchmarking-- Information about

    a best practice obtained through a review ofliterature or using a third party as a resource.

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    Benchmarking

    Sources of Benchmarking Data Internal -- Comparisons of processes, products, or

    services with others within the same organization.

    Competitive -- Products, services and processes ofcompetitors compared with the organizations operations

    data. Functional -- Focus on practices of a specific type

    (marketing/manufacturing) not necessarily specific to thecompany/organizations industry. Cross-industrycomparisons.

    Generic -- Comparison of processes with those of a world-class company not part of the same industry, but withsimilar processes.

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    Types of Benchmarking

    Operational Comparison of a work process orfunctional area to determine enablers or bestpractices

    Strategic Strategies used by organizations(strategic plan). An example would be theinnovative ideas from any of the seven Baldrigecategories, or a companys continuousimprovement targets.

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    Strategic

    planning

    Continuousprocess

    improvement

    efforts

    Operations

    performancereview

    Observations

    of other

    companies

    spur ideas

    1.0 Launch

    Investigations into

    Possibilities

    2.0 Organize for

    Benchmarking

    4.0 Assimilate the

    Information

    5.0 Act on the

    Information

    Define the

    opportunity or

    problem

    Select the projectteam

    Set expectations

    Target the process

    or the function

    Identify customers

    needs

    Analyze process flow

    and metrics

    Enlist sponsors and

    mgmt support

    Identify process

    inputs and outputs

    Develop hypotheses

    to investigate bybenchmarking

    Conduct secondary

    benchmarking

    3.0 Reach Out

    Collect baseline

    data

    Determineperformance

    measures of interest

    Develop plan for

    collecting primarydata

    Select organization

    to benchmark

    Analyze the

    secondary data

    Analyze the primary

    data

    Compare

    performance levels,

    present and future

    Target new

    performance levels

    and compare to

    earlier objectives

    Analyze processesand practices of

    partner organization

    Develop

    recommendations

    for change

    Seek agreement

    among all involved

    in the changes

    Plan the

    implementation

    Implement

    Monitor and

    adjust as needed

    Drivers

    Benchmarking

    Team CharterDeliverables

    Full benchmarking plan Comparative

    analysis

    Recommended

    improvement

    Implementation

    NGS Model for Benchmarking

    Initiation teamoperates here

    Benchmarking project team operates here

    Conduct primary

    benchmarking

    Develop survey

    or interview guide

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    Force Field Analysis

    Force Field Analysis is a method for listing, discussing,

    and evaluating the various forces for and against aproposed change. When a change is planned, Force Field Analysis helps

    you look at the big picture by analyzing all of the forces

    impacting the change and weighing the pros and cons. By knowing the pros and cons, you can develop

    strategies to reduce the impact of the opposing forces

    and strengthen the supporting forces.

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    Force Field Analysis Forces that help you achieve the change are called

    "driving forces." Forces that work against the change are called

    "restraining forces." Force Field Analysis can be used to develop an action

    plan to implement a change. Specifically it can . . .

    1.Determine if a proposed change can get neededsupport

    2.Identify obstacles to successful solutions

    3.Suggest actions to reduce the strength of the

    obstacles

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    Rationale for Using Force Field Analysis

    Indentifies forces/factors that:1. support change

    2. work against change

    So that:

    1. Positives can be reinforced

    2. Negatives can be eliminated or reduced

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    Reasons for Using Force Field Analysis

    Provides comparison of positives and negatives

    Illustrates all factors influencing change

    Provides method to identify priorities for/againstchange

    Stimulates discussion about the real problem andhow to solve it.

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    Steps in Using Force Field Analysis

    1. Write out the change issue

    2. Brainstorm the reasons why people/organizations/etc.will be for/against the change

    3. Prioritize:

    1. Issues that can be strengthened

    2. Issues that, if removed/mitigated, would create the greatestacceptance of the change.

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    What does it look like?

    + -Issue: _____________________

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    Measuring Progress

    Progress may be defined differently by terrorists. In a search for meaningful measurement criteria,

    measurements need to be clearly defined andlinked to goals and objectives.

    Existing methodologies for measuring progress incombating complex social phenomena such asdrug trafficking and crime provide solid examples

    for HS&D Metrics.

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    Framework for Measurement:Incidents

    Past measurements included Number of attacks. In attempting to measure incidents, some in the United

    States tend to define success in familiar ways: body

    counts and numbers.

    A common pitfall is overreliance on quantitative data at theexpense of its qualitative significance. In previous years Patterns of Global Terrorism reports,

    incidents were counted equally without regard to their

    broaderimpact.

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    Framework for Measurement:Incidents

    To the degree that terrorist constituencies are not fromwestern cultures, their mindsets may not necessarily place

    a premium on quantification metrics, but rather on other

    values such as religious precepts, or honor or revenge.

    Western policymakers often tend to define success by theabsence of attacks. Terrorists sometimes define success in terms of making

    governments expend limited resources trying to defend an

    enormous number of potential targets.

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    Framework for Measurement:Attitudes

    Attitudes drive both terrorism and the worlds response to

    terrorism. Shaping attitudes to break or weaken the political will to combat

    terrorism is a central terrorist goal and an important indicator of

    success or failure. Terrorists often see success as breaking their opponents will. They want the public to push governments to adopt policies of

    appeasement to force governments to spend beyond their means

    and to become increasingly oppressive and draconian towards

    their own populace. They may see public opinion concerning anti-terrorism policies as

    an Achilles heel, counting on protracted reaction of protest.

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    Framework for Measurement:Attitudes

    Attitudinal criteria include:

    (1) Negative psychological or behavioral impact of terrorismon a society.

    (2) Loss of public confidence in governments, or in theirsecurity measures

    (3) The degree to which terrorists are able to radicalize andpolarize Islam against the West and vice versa

    (4) The level of anti-American or anti-Western sentiments,and (5) the level of religious bigotry in countries which arebreeding grounds for terrorists.

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    Framework for Measurement:Attitudes

    Attitudes drive both terrorism and the worlds response to

    terrorism.

    Shaping attitudes to break or weaken the political will tocombat terrorism is a central terrorist goal and animportant indicator of success or failure.

    Terrorists often see success as breaking their opponentswill.

    They want the public to push governments to adoptpolicies of appeasement to force governments to spend

    beyond their means and to become increasinglyoppressive and draconian towards their own populace.

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    Framework for Measurement: Trends

    Trends are changes of incidents, attitudes and otherfactors, over time.

    Measurement of trends is particularly relevant with regardto trends in terrorist infrastructure.

    Is their leadership being weakened; is their recruitmentbase, network, or target list growing?

    Relevant also are intentions (tactical and strategic goals).Have the intentions of a movement or group changed and

    if so are they more or less radical more or less focusedon causing widespread damage?

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    Framework for Measurement: Trends

    Capabilities are important as well. What are the capabilitiesof a terrorist group to inflict serious damage? Are theyincreasing or decreasing?

    Other trends that might be measured include are:

    (1) The number of governments that do not embraceappeasement policies,

    (2) The number of defectors from the terrorist ranks

    (3) The terrorists levels of Internet activity

    (4) The amount of media coverage they receive(5) The number of supporters and recruits they gain.

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    Measuring HS&D Performance

    Performance is fundamentally measured by apositive change in the problem you are aiming toaddress.

    From a client perspective, change is defined by a

    measurable improvement in client knowledge,skills, behavior, or condition.

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    Measuring HS&D Performance

    Performance Measure: This is an indicator, statistic, ormetric used to gauge program performance and assessprogress in meeting the program performance goal, andin turn, the objectives and goals of the Department.

    Performance Target: A target is the projected level ofperformance for each performance measure during afiscal year. A target is a quantifiable or measurablecharacteristic that communicates how well or at whatlevel a program aspires to perform.

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    Measuring HS&D Performance

    Performance Result: A result is the actual levelof performance for each performance measureachieved during a fiscal year. Results arecompared to targets to determine how well actual

    performance measured up to that which wasplanned.

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    Performance MeasurementFramework

    Program Design. If you havent already, nows the time toarticulate the client needs that your program is trying toaddress and your programs goals.

    Performance Measurement Framework. If youre startingfrom scratch, start backwards with the outcomes, followedby determining the activities you think you need to achievethose results.

    If youre starting with an existing program, then workthrough current practice to document what you are

    currently doing and its impact.

    Revise current practice if you are not satisfied with theresults you document.

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    Lean Definition

    Lean is defined as a management approach that seeks tomaximize value to customers, both internal and external,while simultaneously removing wasteful activities andpractices.

    It is based on the management system used at ToyotaMotor Corporation, with Shigeo Shingo and Taiichi Ohnogenerally considered to be its architects.

    Womack, Jones, and Roos in a worldwide study ofautomobile manufacturing, used the term lean to

    describe the activities that seek to minimize waste, suchas excess inventory and defective products.

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    Lean Definition

    Their study concluded that Lean was preferable to massproduction prominent in the United States and Europe.

    Lean manufacturing gradually found its way in themainstream jargon during the mid to late 1990s.

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    Six Sigma

    Six Sigma can be defined as a management approach thatseeks to maximize profits by systematically applyingscientific principles to reduce variation and thus eliminatedefects in product and service offerings.

    Six Sigma has evolved into a comprehensive managementsystem. Many practitioners, however, continue to view SixSigma as a set of techniques that promote variancereduction.

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    Six Sigma

    Six Sigma projects are formalized and highly structured,making use of scientific approaches in the selection andmanagement of projects.

    Six Sigma projects use a DMAIC structure, considered bymany practitioners to be the primary reason for SixSigmas success. DMAIC enforces a high degree ofdiscipline and commonality in project organization,problem-solving tools, software, and terminology.

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    Six Sigma Processes

    Six Sigma is the constant striving to take what youare doing today and improve it.

    Can Six Sigma be used for improving security andemergency management? Yes it can.

    One must start with the DMAIC process taughtwithin Six Sigma as a disciplined approach toproject management.

    DMAIC stands for, Define, Measure, Analyze,Improve, and Control.

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    Lean Six Sigma Processes

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    LSS & Security Processes

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    HS&D & CS Coordination

    HS&D and CS mission areas require detailedplanning and interagency coordination todevelop operational relationships with otherfederal departments and agencies.

    In certain circumstances DODs dependenceon non-DOD organizations, information,assets and infrastructures could be critical in

    the accomplishment of HD as well as CSmission areas.

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    PDD 56 I C di i

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    PDD-56 Interagency CoordinationTools

    Executive Committee (ExComm) provides unifiedplanning guidance andimproves day-to-day crisismanagement.

    Political-Military Implementation Plan (Pol-Mil Plan)lays out a coordinatedmulti-dimensional strategy to

    achieve mission success.

    Interagency Rehearsalrefines mission area plans toachieve unity of effort.

    Interagency After-Action Reviewassesses interagencyplanning efforts andcaptures lessons for dealing withfuture complex emergencies.

    PDD 56 I t C di ti

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    PDD-56 Interagency CoordinationTools

    Interagency Trainingcreates a cadre of officials familiarwith improvedinteragency management and establishesworking relationships among key offices across theinteragency to strengthen overall interagency readiness.

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    Interagency Assessment Components

    Collecting relevant information about whathappened during the planning, execution, andtransition phases of the operation

    Analyzing the information and determining useful

    lessons to be learned distributing those lessonsthroughout the interagency

    Integrating critical lessons into policies andprocedures so they can help improve interagencyoperations during the next crisis.

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    Interagency Collaboration Practices

    Agree on roles and responsibilities, including leadership. Establish compatible policies, procedures, and other

    means to operate across agency boundaries, includingcompatible standards and data systems, and communicatefrequently to address such matters as cultural differences.

    Develop mechanisms to monitor, evaluate, and report onthe results of the collaborative effort.

    http://www.gao.gov/new.items/d0615.pdf

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    Interagency Collaboration Practices

    Collaboration can be broadly defined as any joint activitythat is intended to produce more public value than couldbe produced when organizations act alone. Agencies canenhance and sustain their collaborative efforts byengaging the following practices:

    Define and articulate a common outcome.

    Establish mutually reinforcing or joint strategies designedto help align activities, core processes, and resources toachieve a common outcome.

    Identify and address needs by leveraging resources tosupport the common outcome and, where necessary,opportunities to leverage resources.

    http://www.gao.gov/new.items/d0615.pdf

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    Interagency Collaboration Practices

    Reinforce agency accountability for collaborative efforts by usingstrategic and annual performance plans to establish complementarygoals and strategies and by using performance reports to account forresults.

    Reinforce individual accountability for collaborative efforts throughperformance management systems by identifying competencies

    related to collaboration and setting performance expectations forcollaboration.

    http://www.gao.gov/new.items/d0615.pdf

    C i ti C ti

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    Communication, Cooperation,Collaboration Relationships

    Collaboration involves a group of independent individuals or organizations

    working together to achieve a common purpose directly or indirectly affectingoutput or outcomes or other goals.

    This working together involves varying degrees of integration or sharing offunctions and can be described according to the intensity of the relationships.

    Collaboration requires each partner to give up some autonomy in the interests ofmutual gain or outcomes.

    True collaboration involves actual changes in agency, group, or individualbehavior to support collective goals or ideals.

    (Corbett & Noyes, 2008)

    MITRE M lti Ag F ll R di

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    MITRE Multi-Agency Full ReadinessModel

    MITRE M lti Agenc F ll Readiness

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    MITRE Multi-Agency Full ReadinessModel: Operational Coordination

    MITRE Multi Agency Full Readiness

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    MITRE Multi-Agency Full ReadinessModel: Operational Cooperation

    MITRE Multi Agency Full Readiness

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    MITRE Multi-Agency Full ReadinessModel: Operational Collaboration

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    MITRE Activity Readiness Model

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    Module 4 Reading Requirement Instructors Module/Week 4 PPT presentation.

    Kamien, D. (2006) the McGraw-Hill Homeland SecurityHandbook. McGraw-Hill Publishing. New York, N.Y.Chapter 71,16,18 p. 283-296.

    U.S. Department of Homeland Security (2008), Strategic

    Plan Fiscal Years 20082013: One Team, One Mission,Securing Our Homeland, Washington D.C. p. 26-28.

    Six Sigma And The Security Plan, Jack Freson, SigmaTeam Solutions, LLC Associate of: Six Sigma Security,

    Inc.

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    Module 4 Reading Requirement Perl, R. (2007) Combating Terrorism: The Challenge of

    Measuring Effectiveness. CRS Report for Congress,Congressional Research Service, Washington D.C.

    Mayleff, J. (2007) Improving Service Delivery inGovernment with Lean Six Sigma.

    Freson, J. (2008), Six Sigma and the Security Plan, SigmaTeam Solutions. Retrieved from website:www.sixsigmasecurity.us

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    Module 4 Reading Requirement Instructors Module/Week 4 PPT presentation.

    Sowell, P., Reedy, M., Hailegiorghis, M. (2005) MITRETechnical Report: Application of a Readiness Model forMulti-Agency Interaction, Center for EnterpriseModernization, McLean, VA.

    National Security Council (1997) Handbook forInteragency Management of Complex ContingencyOperations, Washington D.C.

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    Team Assignment

    Develop and establish a Benchmark for theProject recommendation and proposal.

    Develop Key Performance Metrics to be used forevaluation.

    Produce and submit PPT slide 7 (Benchmark &Key Performance Metrics) and submit intoBlackboard Digital Drop Box.

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    Team Assignment Develop an implementation methodology that

    defines how the proposed recommendation will beimplemented into the overall process.

    Develop an Evaluation and Measures of SuccessCriterion that describes how the proposed

    recommendation will be evaluated using the metrics,and measured to determine success criteria.

    Produce and submit slides 8 (ImplementationMethodology) and 9 (Evaluation and Measures ofSuccess Criterion), and submit into BlackboardDigital Drop Box.

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    Individual Essay Questions

    Individual Essay Question 1: Does the DHSPerformance Management Framework provide asubstantial enough methodology to measureeffectiveness and success for todays HS&D

    challenges?

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    Individual Essay Questions

    Individual Essay Question 2: Discuss thenecessity of Inter and Intra-agency Cooperation,Coordinate and Communication as a viablecomponent of HS&D operations.

    Does the Mitre Full Readiness Model for Multi-Agency Interaction provide a sound model forHS&D agencies to measure success forCooperation, Coordination, and Communication?

    Justify response.

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    Please Complete the BlackboardRequirements for This ModuleBefore Moving to Module Five