Reserve Forces
Army National Guard and Army Reserve Readiness for 21st Century Challenges
Gao ID: GAO-06-1109T September 21, 2006
Ongoing operations in Iraq and Afghanistan have required the deployment of large numbers of Army National Guard and Army Reserve personnel. The Department of Defense (DOD) faces the unprecedented challenge of sustaining large-scale, long-duration operations with an all-volunteer military force. In addition, DOD's homeland defense missions have taken on higher priority, and National Guard forces have state responsibilities for homeland security activities as well as their traditional roles in responding to natural disasters. Over the past few years, GAO has examined the effects of ongoing military operations and domestic missions on the Army National Guard and Army Reserve. This statement, which draws on prior GAO work, focuses on (1) challenges in sustaining Army reserve component equipment and personnel readiness while supporting ongoing operations and (2) the extent to which the Army's planned transformation initiatives will alleviate equipment and personnel shortages and enhance readiness.
The Army National Guard and Army Reserve have made significant contributions to ongoing military operations, but equipment shortages and personnel challenges have increased and, if left unattended, may hamper the reserves' preparedness for future overseas and domestic missions. To provide deployable units, the Army National Guard and the Army Reserve have transferred large quantities of personnel and equipment to deploying units, an approach that has resulted in growing shortages in nondeployed units. Also, reserve units have left significant quantities of equipment overseas and DOD has not yet developed plans to replace it. The Army National Guard reports that its units have less than one-third of their required equipment, and the Army Reserve reports that its units have about half of the modern equipment they need to deploy. These shortages could also adversely affect reserve units' ability to perform homeland defense missions and provide support to civil authorities in the event of natural disasters or terrorist attacks. The Army also faces shortages of personnel trained in some high-demand skills. These readiness challenges have occurred because the Army reserve components' role has shifted from a strategic reserve force to an operational force that is being used on an ongoing basis. However, DOD has not fully reassessed its equipment, personnel, and training needs and developed a new model for the reserves appropriate to the new strategic environment. GAO has made recommendations that DOD conduct a comprehensive reassessment of equipment, personnel, training, and funding requirements given the reserve components' shift to an operational role, but DOD's progress to date in addressing them has been limited. Without a comprehensive reassessment of equipment and personnel policies, the Army's reserve components may not be well prepared to deal with future events at home or abroad. The Army has begun two transformational initiatives intended to enhance reserve units' ability to conduct 21st century operations and plans to spend over $24 billion for equipment over the next 5 years. These initiatives are significant, but the extent to which they will alleviate equipment and personnel challenges is unclear. The Army faces challenges in managing both initiatives' costs and achieving intended capabilities. First, although the Army is making progress in transforming its forces to more flexible modular units, it has not provided detailed information on the capabilities, costs, and risks of its plans, and reserve units are likely to lack some key equipment items well into the future. Second, the Army is implementing a force generation model through which reserve units' readiness will be increased as units move closer to eligibility for deployment. However, the Army has not fully determined the equipment, personnel, and training that units will require at each stage of the cycle or fully identified the resources to implement its plans. Without detailed implementation plans, decision makers will not have sufficient information with which to assess both DOD's progress and performance in transforming the Army reserve components and whether investment decisions are being targeted to the highest priority areas.
GAO-06-1109T, Reserve Forces: Army National Guard and Army Reserve Readiness for 21st Century Challenges
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Testimony:
Before the Commission on the National Guard and Reserves:
United States Government Accountability Office:
GAO:
For Release on Delivery Expected at 11:30 a.m. EDT:
Thursday, September 21, 2006:
Reserve Forces:
Army National Guard and Army Reserve Readiness for 21st Century
Challenges:
Statement of Janet A. St. Laurent, Director:
Defense Capabilities and Management:
Reserve Forces:
GAO-06-1109T:
GAO Highlights:
Highlights of GAO-06-1109T, a testimony before the Commission on the
National Guard and Reserves
Why GAO Did This Study:
Ongoing operations in Iraq and Afghanistan have required the deployment
of large numbers of Army National Guard and Army Reserve personnel. The
Department of Defense (DOD) faces the unprecedented challenge of
sustaining large-scale, long-duration operations with an all-volunteer
military force. In addition, DOD…s homeland defense missions have taken
on higher priority, and National Guard forces have state
responsibilities for homeland security activities as well as their
traditional roles in responding to natural disasters. Over the past few
years, GAO has examined the effects of ongoing military operations and
domestic missions on the Army National Guard and Army Reserve.
This statement, which draws on prior GAO work, focuses on (1)
challenges in sustaining Army reserve component equipment and personnel
readiness while supporting ongoing operations and (2) the extent to
which the Army‘s planned transformation initiatives will alleviate
equipment and personnel shortages and enhance readiness.
What GAO Found:
The Army National Guard and Army Reserve have made significant
contributions to ongoing military operations, but equipment shortages
and personnel challenges have increased and, if left unattended, may
hamper the reserves‘ preparedness for future overseas and domestic
missions. To provide deployable units, the Army National Guard and the
Army Reserve have transferred large quantities of personnel and
equipment to deploying units, an approach that has resulted in growing
shortages in nondeployed units. Also, reserve units have left
significant quantities of equipment overseas and DOD has not yet
developed plans to replace it. The Army National Guard reports that its
units have less than one-third of their required equipment, and the
Army Reserve reports that its units have about half of the modern
equipment they need to deploy. These shortages could also adversely
affect reserve units‘ ability to perform homeland defense missions and
provide support to civil authorities in the event of natural disasters
or terrorist attacks. The Army also faces shortages of personnel
trained in some high-demand skills. These readiness challenges have
occurred because the Army reserve components‘ role has shifted from a
strategic reserve force to an operational force that is being used on
an ongoing basis. However, DOD has not fully reassessed its equipment,
personnel, and training needs and developed a new model for the
reserves appropriate to the new strategic environment. GAO has made
recommendations that DOD conduct a comprehensive reassessment of
equipment, personnel, training, and funding requirements given the
reserve components‘ shift to an operational role, but DOD‘s progress to
date in addressing them has been limited. Without a comprehensive
reassessment of equipment and personnel policies, the Army‘s reserve
components may not be well prepared to deal with future events at home
or abroad.
The Army has begun two transformational initiatives intended to enhance
reserve units‘ ability to conduct 21st century operations and plans to
spend over $24 billion for equipment over the next 5 years. These
initiatives are significant, but the extent to which they will
alleviate equipment and personnel challenges is unclear. The Army faces
challenges in managing both initiatives‘ costs and achieving intended
capabilities. First, although the Army is making progress in
transforming its forces to more flexible modular units, it has not
provided detailed information on the capabilities, costs, and risks of
its plans, and reserve units are likely to lack some key equipment
items well into the future. Second, the Army is implementing a force
generation model through which reserve units‘ readiness will be
increased as units move closer to eligibility for deployment. However,
the Army has not fully determined the equipment, personnel, and
training that units will require at each stage of the cycle or fully
identified the resources to implement its plans. Without detailed
implementation plans, decision makers will not have sufficient
information with which to assess both DOD‘s progress and performance in
transforming the Army reserve components and whether investment
decisions are being targeted to the highest priority areas.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-06-1109T].
To view the full product, click on the link above. For more
information, contact Janet A. St. Laurent at (202) 512-4402 or
stlaurentj@gao.gov.
[End of Section]
Mr. Chairman and Members of the Commission:
I am pleased to be here today to discuss the work GAO has undertaken
regarding the changing roles and readiness of the Army National Guard
and Army Reserve. The Congress has given the Commission on the National
Guard and Reserves (Commission) a very significant charge, and I hope
that our work will be useful to the Commission in its deliberations on
how reserve forces should be structured and equipped for the 21st
century given new threats to our national security, both overseas and
at home. Ongoing operations in Iraq and Afghanistan have required the
involvement of large numbers of reservists, particularly ground forces,
and the Department of Defense (DOD) now faces the unprecedented
challenge of sustaining large-scale, long-duration operations with an
all-volunteer military force. Since 2001, over 500,000 reservists have
been mobilized in support of ongoing operations, the largest
mobilization of reserve forces since World War II. The high pace of
operations has led to personnel and equipment shortages among Army
reserve component units. Further, in addition to its traditional
homeland missions, such as responding to storms and fighting forest
fires, the National Guard's homeland missions have expanded to include
guarding against terrorist threats.
Over the last few years, we have examined the effects of expanded
mission requirements on the Army National Guard and Army Reserve,
including their new operational roles in supporting both large-scale,
long-duration overseas operations and emerging domestic requirements.
My testimony today focuses on (1) the Army reserve components'
challenges in sustaining equipment and personnel readiness while
supporting ongoing military operations and (2) the extent to which
Army's planned transformation initiatives will alleviate the Army
reserve components' equipment and personnel shortages and enhance their
readiness for overseas and domestic operations.
My testimony draws upon several GAO reports related to reserve
component personnel and equipment issues, including requirements for
personnel with high-demand skills to support ongoing overseas
operations. A list of these reports appears at the end of this
statement.
In preparing these reports, we performed extensive analysis of DOD's
documentation on the status of Army National Guard and Army Reserve
equipment and personnel, focusing primarily on the status of
nondeployed units. We also reviewed and assessed DOD's and the Army's
strategies and plans for the future including the Army Campaign Plan,
key plans related to the Army's transition to a modular force,
rotational force management data, equipping and funding plans, and unit
readiness reports. We also discussed these issues with officials from
the Office of the Secretary of Defense; the Departments of the Army and
the Air Force; the National Guard Bureau; the Army Reserve; the Office
of the Chairman, Joint Chiefs of Staff; and the U.S. Joint Forces
Command. In addition, we visited selected Army National Guard units
that had been deployed or were preparing to deploy as well as Army
Reserve units performing homeland defense missions. This work was
conducted in accordance with generally accepted government auditing
standards.
We are continuing to conduct work relating to reserve component issues,
which will enable us to provide more information in the coming months
on issues of interest to the Commission. For example, we have begun
work examining reserve pay and compensation issues. We also have
ongoing engagements examining employer support for reservists;
emergency management assistance compacts among states; reserve
deployment reporting; and the status of the National Guard's equipment
for its domestic homeland defense missions and support to civilian
authorities.
Summary:
The Army National Guard and Army Reserve have made significant
contributions to ongoing military operations since September 11, 2001;
however, equipment shortages and personnel challenges have increased
over time and could hamper the Army's reserve components' preparedness
for future overseas and domestic missions if left unattended. These
readiness challenges have occurred for two primary reasons. First, the
Army has provided resources to reserve units based primarily on the
assumption that they would deploy overseas only in the latter stages of
major combat operations and would receive additional resources during a
mobilization phase. However, the Army National Guard's and Army
Reserve's shift to more of an operational role in response to the new
security environment has led to a situation in which the Army's
traditional resourcing strategies for managing personnel and equipment
may no longer be in balance with how the reserves are being used.
Second, mobilization authorities, DOD's policies, and Army deployment
practices limit the number and duration of reservists' deployments for
ongoing operations so that the Army's reserve components will be
challenged to involuntarily mobilize and deploy large numbers of
personnel with needed skills. To provide deployable units for Iraq and
Afghanistan, the Army National Guard and the Army Reserve have
transferred large numbers of uniformed personnel and equipment from
nondeployed units to deploying units. This approach has resulted in
growing shortages among nondeployed units. Equipment shortages have
been further compounded because DOD has required reserve units to leave
large amounts of equipment overseas for use by other forces, and much
of this equipment has not been replaced. As a result, the Army National
Guard reports that units have less than one-third of their required
equipment, and the Army Reserve currently reports that its units have
about half of the modern equipment they would need to deploy. In
addition to creating potential risk to the nation's ability to respond
to unforeseen events overseas, Army National Guard and Army Reserve
equipment shortages could also adversely affect reserve units' ability
to perform homeland defense missions and provide support to civil
authorities in the event of natural disasters or terrorist events.
Moreover, under current policies, the Army is challenged to identify
and mobilize reserve personnel in some high-demand skills. We have made
recommendations to DOD intended to bring about a comprehensive
reassessment of equipment, personnel, training, and funding
requirements given the Army reserve components' shift to a more
operational role. However, DOD's progress in implementing these
recommendations has been limited. Unless such a comprehensive
reassessment and rethinking of the equipment and personnel policies is
completed--in other words, unless DOD reaches consensus on a new model
for the reserves that matches policies and resources with the Army
reserve components' expected missions--DOD may find itself ill prepared
to deal with future events at home or abroad.
The Army has recently begun two major transformational initiatives that
are intended to improve the ability of Army Reserve and Army National
Guard units to respond to 21st century threats; however, the extent to
which these initiatives will help to alleviate personnel and equipment
challenges and enhance readiness is unclear. These initiatives include
the creation of modular units in the active and reserve components and
the creation of a new model to manage readiness and provide reservists
with more predictable deployment schedules. Although both these
initiatives have some merit from a conceptual standpoint, the Army
faces significant challenges in managing their costs, risks, and
performance. Specifically, the Army is making progress in transforming
its division-based structure to more easily deployable modular units,
but it has not provided detailed plans showing the extent to which DOD
will be able to fund new equipment required by modular units in the
reserve components. The Army has budgeted $21 billion to improve the
Army National Guard's equipment and $3.8 billion for the Army Reserve
over the next 5 years; however, it has not yet provided detailed
information about the types and amounts of equipment it will buy or
described the extent to which this funding will provide equipment
compatibility with the active component. Further, the Army has not
provided sufficient information with which DOD and congressional
decision makers can assess the capabilities, costs, affordability, and
risks of the Army's modular force implementation plans. Because the
need to equip units deploying overseas is likely to continue to take
priority over nondeployed units for equipment funds, reserve units are
likely to have shortfalls of some key equipment items well into the
future. The Army's second major initiative is the development of a
force generation model in which units' readiness for deployment would
move through phases of increasing readiness as they move closer to
deployment eligibility--once every 5 to 6 years for reserve forces.
However, the Army has not yet developed a transparent plan for national-
level decision makers that identifies the equipment, personnel, and
training that will be required at each phase of the model nor has it
fully identified the resources it will need to implement its plans. We
reported in 2005 that the Army needs to fully define how the reserve
components will be integrated into its modular force and rotational
cycle, and although DOD agreed with our recommendations, many questions
remain about the risks inherent in the Army's plans.[Footnote 1] Until
the Army completes such plans and identifies funding for its
transformational initiatives, the reserve components' preparedness for
future overseas and domestic missions is not likely to increase and may
continue to erode. Moreover, unless the Army completes more detailed
implementation plans, decision makers will not have sufficient
information to assess both DOD's progress and performance in
transforming the Army's reserve components and whether investment
decisions are being targeted to the highest priority areas.
Background:
The Army has two reserve components, the Army National Guard and the
Army Reserve. Both reserve components are composed primarily of citizen
soldiers who balance the demands of civilian careers with military
service on a part-time basis. During the Cold War, it was expected that
the reserve forces would be a strategic reserve to supplement active
forces in the event of extended conflict. However, since the mid-1990s,
the reserves have been continuously mobilized to support operations
worldwide, including those in Bosnia and Kosovo as well as operations
in Afghanistan and Iraq. In today's strategic environment, the Army's
reserve components have taken on a variety of different overseas
missions as well as traditional and emerging domestic missions.
The Army Reserve and the Army National Guard are part of the total
Army, which also includes the active component. The Army organizes,
trains, and equips its reserve components to perform assigned missions.
The Army Reserve is a federal force that is organized and trained
primarily to supply specialized combat support and combat service
support skills to combat forces. The Army National Guard is composed of
both combat forces and units that supply support skills. The Army
National Guard, when mobilized for a federal mission, is under the
command and control of the President. When not mobilized for a federal
mission, Army National Guard units act under the control of the
governors for state missions, typically responding to natural disasters
and more recently protecting state assets from terrorist attacks. Using
DOD planning guidance, the Army provides reserve units varying levels
of resources according to the priority assigned to their federal
warfighting missions.
Reserve forces may be involuntarily called to active duty under three
mobilization authorities. As shown in table 1, two authorities
authorize the President to involuntarily mobilize forces, but with size
and time limitations. Full mobilization, which would authorize the
mobilization of forces for as long as they are needed, requires a
declaration by the Congress. The Office of the Secretary of Defense
implements the activation of reservists.
Table 1: Mobilization Authorities for Reserve Forces:
Statute: 10 U.S.C. 12301(a); "Full Mobilization";
Provisions: Declared by Congress:
In time of war or national emergency;
No limit on numbers of soldiers called to active duty;
For duration of war plus 6 months.
Statute: 10 U.S.C. 12302; "Partial Mobilization";
Provisions: Declared by the President:
In time of national emergency;
No more than 1,000,000 reservists can be on active duty;
No more than 24 consecutive months.
Statute: 10 U.S.C. 12304; "Presidential; Reserve Call-up";
Provisions: Determined by the President:
To augment the active duty force for operational missions;
No more than 200,000 reservists can be on active duty;
No more than 270 days.
Source: GAO analysis of U.S. Code provisions.
[End of table]
On September 14, 2001, President Bush declared that a national
emergency existed as a result of the terrorist attacks of September 11,
2001. On September 20, 2001, DOD issued mobilization guidance that
among other things allowed the services to mobilize reservists for up
to 24 cumulative months under the President's partial mobilization
authority. The Army's current guidance is that soldiers should serve 12
months with their "boots on the ground" in support of Operation
Enduring Freedom in Afghanistan and Operation Iraqi Freedom in Iraq,
not including the time spent in mobilization and demobilization
activities, which could add several more months to the time a reserve
member spends on active duty.
Army Reserve Components Have Significant Equipment Shortages and
Personnel Challenges That Hinder Readiness for Future Missions:
The Army's reserve components have provided ready forces for ongoing
military operations since September 11, 2001, but personnel and
equipment challenges have led to declining readiness and hamper their
ability to prepare for future overseas and domestic missions. A
resourcing structure that is inconsistent with the reserve components'
new operational role as well as limiting mobilization policies and
practices have led to equipment and personnel shortages. These
shortages have required nondeployed reserve units to transfer equipment
and personnel to deploying units, further degrading readiness. In the
absence of a major effort to reassess equipment, personnel, and
training requirements and policies, it will become increasingly
difficult for the Army reserve components to prepare for future
missions.
Reserve Components' Transfers of Equipment to Deploying Units and
Equipment Left Overseas Exacerbate Existing Shortages:
Two major issues that have degraded the readiness of Army reserve
forces are (1) the transfers of equipment among units to deploy ready
forces and (2) the significant amounts of equipment reserve units have
left overseas. The resulting equipment shortages could adversely affect
reserve units' ability to contribute to overseas and homeland missions.
Transferring Equipment to Ready Deploying Units Has Degraded
Nondeployed Units' Equipment Inventories:
The Army National Guard and the Army Reserve currently have shortages
in the equipment they need to train and deploy and, in the case of the
Army National Guard, to respond to domestic emergencies. As noted
earlier, equipment shortages exist because the Army, following DOD
planning guidance, has historically equipped Army units, including the
Army reserve components, according to a strategy known as tiered
resourcing. Under the tiered resourcing strategy, units expected to
deploy overseas first in a conflict, generally active combat units,
receive first priority for equipment. Following this approach, the Army
accepted some operational risk by providing lower-priority reserve
units with less equipment than they would need for their missions,
under the assumption that there would be time to provide additional
equipment to them before they would be deployed. For example, the Army
National Guard's divisions, which constitute the majority of its combat
forces, have been maintained with about 65 percent of the equipment
they would need to perform their missions. In addition, much Army
reserve component equipment is older and less modern than that of the
active Army and is not always compatible with active force logistics.
The Army National Guard reports that units have less than one-third of
their required equipment, and the Army Reserve currently reports that
its units have about half of the modern equipment they would need to
deploy.
Despite this tiered resourcing structure, for recent operations,
combatant commanders have required Army National Guard and Army Reserve
units to deploy with 90 to 100 percent of the equipment they are
expected to need and with equipment that is compatible with that of
active Army units. To meet the combatant commander requirements for
fully manned and equipped units, the Army National Guard and the Army
Reserve have transferred equipment to deploying units. For example,
when Army National Guard's 30th Brigade Combat Team from North Carolina
was alerted to prepare to deploy to Iraq in 2004, it had only about 40
percent of its deployment requirement of about 8,810 night vision
goggles. The Army National Guard had to transfer about 5,272 pairs of
goggles to fully equip the unit, leaving other units with even fewer
goggles available for training and future missions. In another case, to
support requirements for high-demand military police skills during 2004
and 2005, the Army tasked the Army National Guard to convert 40 non-
military police units, including field artillery companies, to security
units capable of performing selected military police missions in Iraq.
While a military police company typically has 47 humvees in its
inventory, field artillery companies have only about 3 humvees that are
suitable for this new mission. The Army National Guard had already
depleted its inventory of armored humvees to prepare units that had
deployed previously, so the converted units had to obtain armored
humvees from other units already in Iraq.
While transferring equipment has enabled the Army National Guard and
Army Reserve to meet immediate needs, transfers have decreased the
equipment available to nondeployed units for training and other
purposes. Early transfers of equipment to deploying units created a
cycle of additional ad hoc transfers as reserve units that had provided
equipment to deploying forces were themselves alerted for
mobilizations.
In 2004, we reported that as of May of that year, the Army National
Guard had transferred more than 35,000 pieces of equipment to ready
units for recent operations.[Footnote 2] We subsequently reported that
by July 2005, the number of equipment items transferred among Army
National Guard units had grown to more than 101,000.[Footnote 3] With
respect to some equipment items, transfers of equipment to deploying
units have completely or almost completely exhausted the inventories of
many nondeployed Army National Guard units. As of July 2005, the Army
National Guard reported that equipment transfers had largely exhausted
its inventory of more than 220 critical items, including some items
useful to nondeployed units for training and domestic missions. Among
the items for which the Army National Guard had shortages of over 80
percent of the authorized inventory were chemical warfare monitoring
and decontamination equipment and night vision goggles.
These continuing transfers have resulted in significant declines in the
amount of equipment available to nondeployed Army National Guard units
since the beginning of current overseas operations. As we previously
reported, the percentage of nondeployed units that reported having the
minimum amount of equipment they would need to deploy[Footnote 4]
dropped from 87 percent in October 2002 to about 59 percent in May
2005. (See fig. 1.) However, this estimate includes units that have
older, less modern equipment, referred to as substitute equipment.
While these substitute items may be useful for training purposes,
commanders may not allow these older items in the theater of operations
because they may not be compatible with the equipment other units are
using and cannot be sustained logistically overseas. In addition, this
estimate includes units that have equipment that is undergoing
maintenance after returning from deployment or was left overseas, so
these items are not readily available for use.
Figure 1: Percentage of Nondeployed Army National Guard Units Meeting
Minimum Equipment Criteria to Deploy:
[See PDF for image]
Source: Army National Guard Data.
[End of figure]
National Guard officials stated that the number of Army National Guard
units meeting the minimum criteria to deploy has continued to decline
since our last report. The National Guard Bureau estimates that when
substitute equipment items, equipment undergoing maintenance, and
equipment left overseas for follow-on forces are subtracted, its
nondeployed units had available only about 34 percent of essential
warfighting equipment as of July 2005. Senior National Guard officials
now estimate that the Army National Guard has less than 30 percent of
its essential warfighting equipment.
Like the Army National Guard, the Army Reserve is also facing problems
resulting from equipment transfers to deploying units. According to our
analysis, from September 2001 through April 2005, the Army Reserve
transferred about 236,000 pieces of equipment worth about $765 million
to fill equipment shortages among deploying units. The items most
transferred were (1) individual equipment, such as clothing and boots;
(2) unit equipment, such as tents, generators, and communications
equipment; and (3) weapons.
In the fiscal year 2007 National Guard and Reserve Equipment Report,
the Army Reserve reported that it had about 78 percent of the equipment
it requires, but about one-third of the equipment is obsolete and not
interoperable with the active Army. Therefore, the percentage of
equipment Army Reserve units have that is acceptable for deployment is
lower than the overall figure indicates. In addition, the Army Reserve
has reported that its equipment is aging more quickly than planned
because of high use and a harsh operational environment. Accordingly,
the Army Reserve has estimated that as much as 44 percent of its
equipment needs servicing, including equipment that has been returned
from overseas. These shortfalls in equipment that could be used to
equip deploying forces or in training for future missions challenge the
Army Reserve's ability to train and prepare units for future
deployments.
Requirement to Leave Significant Quantities of Equipment in Theater Has
Further Decreased Equipment Available to Nondeployed Units:
Compounding the degrading effect of equipment transfers on the
equipment available to nondeployed reserve component units has been the
requirement that units leave significant amounts of equipment in
Afghanistan and Iraq for follow-on forces. In July 2005, we reported
that Army Reserve units had been required to leave some equipment
items, such as vehicles that have had armor added to them, which
exacerbated shortages in equipment available for training.[Footnote 5]
Moreover, in October 2005, we reported that the Army National Guard
estimated it had left more than 64,000 equipment items valued at over
$1.2 billion overseas since 2003 to be used to support ongoing
operations.[Footnote 6] For example, when the North Carolina 30th
Brigade Combat Team returned from its deployment to Iraq in 2005, it
left 229 humvees, about 73 percent of its predeployment inventory of
those vehicles, for other units to use. Similarly, according to Army
National Guard officials, three Illinois National Guard units were
required to leave almost all of their humvees, about 130, in Iraq when
they rotated back from deployment. Moreover, we reported that the Army
had not fully accounted for this equipment and had not prepared plans
to replace it as required under DOD policy. DOD Directive 1225.6,
Equipping the Reserve Forces, issued April 7, 2005, requires a
replacement plan for reserve component equipment transferred to the
active component for more than 90 days.[Footnote 7] However, according
to Army officials, the Army did not initially track the Army National
Guard's equipment or prepare replacement plans in the early phases of
the war because the practice was intended to be a short-term measure
and there were other priorities. In addition, the Army did not have a
centralized process to track equipment and develop replacement plans.
Instead, transfers of equipment between units were only documented at
the unit level in unit property records. According to Army and National
Guard officials, the Army only planned to track certain high-demand
equipment items, such as armored humvees, that were designated to
remain in theater for the duration of the conflict. The National Guard
estimates untracked items, such as cargo trucks, rough terrain
forklifts, and palletized load trucks, to be about 45 percent of all
the items its units left overseas.
In May 2005, the Assistant Secretary of Defense for Reserve Affairs
noted that while the exact amount of equipment transferred between the
reserve and active components was unknown, overall the magnitude of
these transfers has been significant and was an area of concern. He
requested that the Army submit a replacement plan for all Army National
Guard equipment retained in theater by June 17, 2005. In October 2005,
we recommended that the Secretary of Defense direct the Army to prepare
the replacement plans required by DOD Directive 1225.6.[Footnote 8] The
department agreed with that recommendation, but the Army still has not
completed plans for replacing the majority of the equipment. As of June
2006, the Army had developed some plans for replacement of Army
National Guard equipment, but only three plans, which only covered a
portion of the equipment the Army National Guard units left behind, had
been approved.
Equipment Shortages Could Adversely Affect Reserve Units' Ability to
Contribute to Homeland Security Missions as Well as Overseas Missions:
In addition to creating potential risk to the nation's ability to
respond to unforeseen events overseas, Army National Guard and Army
Reserve equipment shortages could also adversely affect reserve units'
ability to perform homeland defense missions and provide support to
civil authorities in the event of natural disasters or terrorist
attacks. Until recently, it has been assumed that the National Guard
could perform its typical state missions, such as storm relief and
firefighting, with the equipment it had on hand for its federal
missions. However, with the heavy use of the Army National Guard in the
new security environment, this assumption may not be a sound one,
especially in the event of non-traditional threats, such as chemical or
biological attacks, or pandemic disease. Moreover, while DOD's Office
of the Assistant Secretary of Defense for Homeland Defense and the U.S.
Northern Command, which are charged with leading DOD's efforts in
homeland defense, have taken some actions to plan DOD's response to
potential threats, they have not completed developing requirements or
preparedness standards and measures for homeland missions in which the
National Guard may be likely to participate. We have previously
reported that some items, such as humvees, night vision goggles, and
chemical protective suits, which are in short supply among the Army
National Guard's nondeployed forces, may also be extremely useful for
responding to domestic events, including terrorism.[Footnote 9]
Although planning for large-scale events, whether natural or man-made,
is not complete and requirements are not fully known, it is likely that
at a minimum, National Guard forces--under control of the states or the
President--will be involved in responding to any large-scale threat or
catastrophe. Hurricane Katrina, which hit the Gulf Coast in August
2005, highlighted the Army National Guard's and DOD's key roles in
responding to catastrophic events as over 50,000 National Guard forces,
as well as 20,000 additional active duty military forces, participated
in responding to the devastation the hurricane left behind.[Footnote
10] We reported in May 2006 that many challenges that the military
faced during Katrina pointed to the need for better plans and more
robust exercises for disaster response and noted that without actions
to help address planning and exercise inadequacies, a lack of
understanding will continue to exist within the military and among
federal, state, and local responders as to the types of assistance and
capabilities that DOD might provide in response to a catastrophe; the
timing of this assistance; and the respective contributions of the
active, reserve, and National Guard forces.
Given the National Guard's role in responding to domestic emergencies,
in November 2004, we recommended that the Secretary of Defense (1)
establish the full range of the National Guard's homeland missions,
including those led by DOD and those conducted in support of civilian
authorities; (2) identify the National Guard's capabilities to perform
these missions and any shortfalls in personnel, equipment, and training
that need to be addressed to perform these missions successfully; (3)
develop a plan to address any shortfalls including identifying funding;
and (4) establish readiness standards and measures for the National
Guard's homeland security missions so that the readiness for these
missions can be systematically measured and accurately
reported.[Footnote 11] DOD agreed with our recommendations and is now
taking a more active role in working with its federal and state
partners to improve its ability to respond to catastrophic incidents.
In addition, this year the Army has taken some steps to provide
equipment to National Guard units in hurricane-prone states to
temporarily improve their ability to respond to hurricanes.
Specifically, the Army transferred equipment, such as trucks,
floodlights, and night vision devices, from its active component units
to National Guard units. Further, the Under Secretary of Defense for
Personnel and Readiness has directed that the department begin tracking
its readiness for some domestic missions in the new Defense Readiness
Reporting System.
Army National Guard and Army Reserve Face Significant Personnel
Challenges, Especially in Some Critical Skills:
In addition to equipment shortages, other factors have negatively
affected Army's reserve components' personnel readiness: (1) the
transfer of personnel among units to deploy ready forces, (2) fewer
full-time support staff than authorized, and (3) the increasing
difficulty of identifying trained personnel available to deploy for
future rotations.
Personnel Transfers among Units to Support Deployments Have Led to
Shortages in Nondeployed Units:
Under tiered resourcing, Army National Guard and Army Reserve units
have generally been assigned fewer personnel than they require to
perform their assigned missions, under the assumption that the
shortages could be filled before the units would deploy. For example,
the Army Reserve has been assigned about 80 to 85 percent of its
required personnel. Additionally, some personnel assigned to units may
not be deployable because of unfulfilled training requirements or for
personal reasons, such as family situations or health reasons. However,
for Operation Iraqi Freedom, the combatant commander has required that
Army National Guard and Army Reserve units be deployed with 100 percent
of the personnel they need for their missions. Therefore, to fill
shortages in deploying units to support the first rotations of troops
to Operation Iraqi Freedom in March 2003, the Army National Guard and
the Army Reserve had to transfer personnel from units that were not yet
alerted to deploy. Initial transfers worsened existing personnel
shortages in non-mobilized units and increased the numbers of personnel
that had to be transferred when additional units were subsequently
mobilized. Moreover, transfers are continuing as reserve personnel
continue to be deployed to support ongoing rotations to Iraq. Shortages
of available personnel in non-mobilized units now limit their ability
to conduct training for future missions and will require them to
receive significant infusions of personnel from other units if they are
alerted for mobilization. Without a comprehensive reassessment of its
reserve staffing policies, the reserve components will have difficulty
improving readiness.
Requirements for Full-time Personnel to Provide Support Have Not Been
Fully Reassessed in Light of the Army's Reserve Components' Changing
Role:
Another significant challenge the Army National Guard and Army Reserve
face in continuing to provide support for ongoing operations is that
they have not been authorized all of the full-time support staff units
need to perform critical readiness duties at home. These personnel play
a key role in maintaining reserve component unit readiness and
participating in mobilization/deployment planning and preparation by
performing the day-to-day equipment maintenance, administrative,
recruiting and retention, and training tasks for the Army National
Guard and Army Reserve forces. However, in accordance with the Army's
tiered resourcing strategy, the Army's reserve components have not been
authorized all the full-time personnel they need to be fully manned.
For example, based on a pre-September 11, 2001, analysis, the Army
Reserve identified a requirement for about 38,000 full-time support
personnel, which equates to about 18.5 percent of the 205,000 members
it is authorized by law. However, the Army Reserve is only authorized
about 26,350 full-time support personnel, or about 68 percent of its
requirement. The Army National Guard was authorized full-time support
equal to only 59 percent of its full-time requirement, in contrast with
the Air National Guard, which is staffed at 100 percent of its required
full-time support personnel. In 2005, we recommended that the Army
should reassess the Army Reserve's requirement for full-time staffing
support given its new operational role, but such a reassessment has not
yet been completed.[Footnote 12] Without sufficient full-time
personnel, critical administrative, maintenance, and training tasks may
not be completed in a timely manner and unit readiness may suffer.
Identifying Trained Personnel Available to Deploy for Future Rotations
Is Increasingly Difficult:
As current operations have continued, under DOD's current policies, the
Army National Guard and Army Reserve will be challenged to
involuntarily mobilize and deploy large numbers of personnel with
needed skills. Reservists serving in Afghanistan and Iraq have been
activated under a partial mobilization authority that enables the
secretary of a military department to involuntarily mobilize reservists
for up to 24 consecutive months. Limitations imposed by DOD policies
implementing the mobilization authority have contributed to increasing
difficulties in identifying reserve personnel, especially personnel
trained in some high-demand skills, to fill ongoing requirements.
Some of the skills in highest demand for current operations are the
combat support and combat service support skills that reside heavily or
primarily in the Army National Guard and Army Reserve--sometimes in
small numbers of critical personnel. Skills that are in high demand
include military police, engineering, and civil affairs. Because so
many of the Army reservists in these skills areas have already been
deployed and are not eligible for future deployment under current
policies, DOD has developed strategies, such as reassigning and
retraining personnel from within the Army and the other services
according to Army doctrine, to fill combatant commander requirements.
While new recruits are constantly entering the Army Reserve and
National Guard, training them with specialized skills, such as
intelligence analysis, takes time.
As we reported earlier this month, there are various options that DOD
can consider to make more reserve personnel available for future
rotations overseas, such as reconsidering its policy of involuntarily
activating reservists only once for current operations, changing
deployment durations, and transferring more positions to high-demand
areas.[Footnote 13] Each of these options has both advantages and
disadvantages. However, DOD has not conducted a comprehensive, data-
driven analysis of its options. Without such an analysis, DOD will be
challenged to plan effectively for future requirements. Moreover, the
Secretary of Defense and the Congress will not have complete
information on which to base decisions about the size and composition
of the force, mobilization and deployment policies, and other issues.
Two Major Army Transformation Initiatives Are Under Way, But Effect On
Reserve Component Readiness Is Unclear:
The Army has two major initiatives--the creation of modular units and
development of a force generation model to provide more predictability
to unit rotations--that are intended to enhance the ability of both
active and reserve units to conduct 21st century operations; however,
implementation plans for these initiatives are still evolving, funding
plans lack sufficient details and could change, and the risks
associated with the initiatives have not been clearly identified. As a
result, the potential impact of these initiatives on the reserve
components' sustainability as part of a 21st century operational force
is very uncertain. Further details about how both these initiatives
will work are critical so that national decision makers can make
accurate assessments, manage risk, and ensure that the initiatives will
result in a sustainable model for the reserves that will provide
adequate levels of readiness commensurate with expected roles and
missions of the Army National Guard and Reserves.
Army's Plans to Transform Its Forces into Modular Brigades Face
Significant Personnel and Equipment Challenges:
The Army considers its modular force transformation the most extensive
restructuring it has undertaken since World War II. Restructuring the
Army from a division-based force to a force of modular brigades that
are intended to be more rapidly deployable and better able to conduct
joint operations will require extensive investments in equipment and
retraining of personnel. The Army currently estimates this initiative
will cost $52.5 billion, including $41 billion for new equipment. These
funds are intended to cover the costs for equipping, training, and
procuring new facilities for active, reserve, and National Guard units-
-including those designed for combat, support, and headquarters
functions. The Army estimated in June 2005 that it would cost about
$15.6 billion to convert the Army National Guard's units.
We have given testimony that although the Army is making progress in
creating modular units, it faces significant challenges in managing
costs and meeting equipment and personnel requirements associated with
modular restructuring in both the active and reserve
components.[Footnote 14] Specifically, we have noted that it is not
clear to what extent the Army can achieve the expected capabilities of
the new modular units within its cost estimate and planned time frames
for completing unit conversions. As of April 2006, the Army had not met
its near-term equipping goals for its active modular combat brigades,
which have traditionally been equipped at a higher level than most
reserve component units. In both the active component and Army National
Guard, combat brigades will initially lack some of the key equipment
that Army force design analyses determined were essential for achieving
their planned capabilities. This will occur because the Army's plans to
fund new equipment for its modular force do not match the schedule for
converting units to new modular organizational designs.
In addition, we have also reported that the Army will face greater
challenges in meeting its modular equipping requirements for its 28
planned National Guard combat brigades.[Footnote 15] Army National
Guard and Army Reserve units will start their modular conversions with
less and much older equipment than most active units. This will add to
the challenge the Army faces in achieving its plans and timelines for
equipping Army National Guard units at comparable levels to active
units. The Army plans to spend a total of $21 billion cumulatively over
the next few years on Army National Guard equipment and $3.8 billion on
Army Reserve equipment. However, Army National Guard officials believe
that even after the Army's planned investment, the Army National Guard
will have to accept risk in certain equipment, such as tactical wheeled
vehicles, aircraft, and force protection equipment.
In the near term, modular conversions will likely exacerbate current
equipment shortfalls in the Army National Guard. First, according to
current Army plans, the units are expected to convert to their new
designs with the equipment they have on hand. However, because of
existing shortages and the large number of equipment items that
deployed units left in Iraq or that need repair or replacement because
of heavy use, units will not have equipment needed for the Army's
modular unit designs. For example, converted Army National Guard units
initially expect to be without some equipment items that provide the
basis for the improved capability of the new brigades, such as unmanned
aerial vehicles, single channel ground and airborne radio systems, and
Javelin antitank missiles. Second, although most Army National Guard
units are scheduled to be reorganized by 2008, the Army has not planned
funding to provide equipment to the units until 2011 at the earliest,
and equipment for ongoing operations may continue to take priority away
from replacing equipment of nondeployed units. The lack of detailed
plans for equipping Army National Guard units makes it difficult to
determine how the Army intends to transition these units from the old
to the new organizational structure effectively.
Moreover, our work highlighted several limitations to the Army's cost
estimate for Army National Guard modular force conversions.[Footnote
16] First, the estimate was based on a unit design that is less modern
than one the Army plans to use in the near term. Second, the estimate
does not include costs for 10 of the Army National Guard's support
units or military construction costs associated with its 40 support
units. Furthermore, the cost estimates assume that Army National Guard
equipment inventories will be at prewar levels and available for
modular conversions, which may not be a reasonable assumption given the
large amounts of equipment that units have left overseas for which
replacement plans have not yet been developed. Supplemental funds for
repairing and replacing equipment worn out overseas could help improve
reserve equipment levels; however, the amount and duration of the
funding that might be allocated to the reserve components is uncertain.
Equipping and Personnel Levels Associated with Army's Force Generation
Model Are Unclear:
The Army has adopted a new force generation model that is intended to
improve units' readiness over time as they move through phased training
to prepare for a potential deployment window that would occur once
every 5 to 6 years for reserve component units. The early phases of the
cycle would entail formation and staffing of the unit and beginning
individual and collective training. Figure 2 illustrates the movement
of units through reset and train, ready, and available phases.
Figure 2: Army Proposed Force Generation Model:
[See PDF for image]
Source: GAO analysis of Army data.
* The Army's force rotation model proposes that active component units
in the Available phase will be available for deployment 1 year in every
3 years, and reserve component units will be available for deployment 1
year in every 6 years.
[End of figure]
According to Army officials, providing units increasing amounts of
equipment as they move through the phases of the model will enable the
Army to better allocate available equipment and help manage risks
associated with specific equipment shortages. Under this model, three
types of equipment sets--a baseline set, a training set, and a
deployment set--would be provided to units as they progress through the
cycle. The baseline set would vary by unit type and assigned mission
and the equipment it includes could be significantly reduced from the
amount called for in the modular brigade design. Training sets would
include more of the equipment units need to be ready for deployment,
but the equipment would be located at training sites throughout the
country and units would not have immediate access to the equipment. The
deployment set would include all equipment needed for deployment,
including theater-specific equipment. With this cyclical equipping
approach, the Army believes it can have up to 14 active combat brigades
and up to 5 Army National Guard combat brigades equipped and mission
ready at any time.
The Army has developed a general proposal to equip both active and
reserve units according to the readiness requirements of each phase of
the force generation model, but it has not yet fully determined
equipping requirements for units as they progress through the
rotational cycles. Specifically, plans do not yet detail the types and
quantities of items required in each phase, and the levels of equipment
the deploying and non-deploying units would receive are currently not
clear. Therefore, it is difficult to assess the risks or the ability of
units in the earlier stages of the cycle to respond to unforeseen
crises overseas or domestically, if required. Such unforeseen crises
could include both events overseas requiring a U.S. military response
or domestic events, such as large-scale natural disasters or terrorist
attacks. In either case, reserve units may be expected to contribute
units to conduct homeland defense missions or to support civilian
authorities. Although the Army has recently worked with the Army
National Guard to assess equipment needs for some homeland security
scenarios, it is not clear whether Army National Guard units will have
sufficient quantities of such equipment during the early phases of the
Army's force generation model to respond effectively under each
scenario. Further, because the requirements for the military to support
civilian authorities in a national crisis have not been determined,
there is no yardstick for measuring how ready nondeployed forces are to
respond to these potential emergencies.
In 2005 we recommended that the Army define the end state of the units,
personnel, skills, and equipment the Army reserve components would need
to fit into the Army's modular force and rotational cycle.[Footnote 17]
Although DOD agreed with our recommendations, many questions remain
about the risks inherent in the Army's plans. The Army has developed,
and continues to refine, a plan that will guide the implementation of
its modular unit designs and force generation model. However, to date,
the plan has not contained the level of detail needed to define the
types and numbers of units that will be required, the process for
coordinating the implementation steps of these two initiatives, or the
funding streams needed to fully implement them. Until this information
is developed, it will not be possible to assess the implementation
risks and determine whether the proposed changes will provide the
desired objectives of a more capable, flexible, and expeditionary force
with reserve components fully ready for deployments no more than once
in 5 or 6 years.
Concluding Observations:
While strategies such as transferring large numbers of Army reserve
component equipment and personnel from non-deploying units to deploying
units and leaving reserve component equipment overseas have met DOD's
immediate needs to support overseas operations, these strategies are
not sustainable over the long term. Growing equipment and personnel
shortages in nondeployed units are symptoms of an outdated model for
balancing reserve unit capabilities, costs, and risks. While DOD's
strategies for supporting Army reserve component units during the Cold
War may have been appropriate to that era, significant changes in the
national security environment have led to greater use of the Army
reserve components on an ongoing basis and spurred the need for a
comprehensive reassessment of reserve component equipping, personnel,
and training policies. In the absence of a comprehensive reassessment
and development of a new model that matches requirements and resources
with expected roles and missions, trends toward declining equipment and
personnel readiness could persist well into the future and Army reserve
component units may not be as well prepared for future overseas and
homeland security missions as expected. For example, at a time when
threats to the nation from terrorist attacks have increased, the Army
National Guard has less equipment than it did in 2002 with which to
respond to natural or man-made events that could potentially be
catastrophic. Although DOD and the Army have some initiatives under way
to enhance Army reserve component readiness, they have not yet fully
developed a comprehensive model for managing personnel, equipment, and
training in light of the Army reserve components' new operational role.
The Army's key initiatives of building a modular force and establishing
a cyclical force generation model represent important changes in how
the reserve components will be organized and will operate in the
future. However, many questions remain about how these initiatives will
affect reserve component readiness. Until the Army develops a more
detailed implementation plan that identifies equipment, personnel, and
training requirements that are consistent with the Army reserve
components' new operational roles, and until funding requirements to
provide an acceptable and affordable level of readiness are identified,
the Army's reserve components will continue to be challenged to support
ongoing operations or prepare for the future. Moreover, until the
details of such a plan are communicated to a broader audience, national-
level decision makers will not have sufficient information with which
to assess DOD's progress and performance in transforming the Army
reserve components.
Mr. Chairman, this concludes my statement. I would be pleased to
respond to any questions you or other members of the Commission may
have.
Contact and Acknowledgments:
For more information regarding this testimony, please contact Janet St.
Laurent at (202) 512-4402 or stlaurentj@gao.gov. Contact points for our
Offices of Congressional Relations and Public Affairs may be found on
the last page of this testimony. Individuals making key contributions
to this testimony include Margaret Morgan, Assistant Director; Alissa
Czyz; Paul Gvoth; Nicole Harms; Catherine Humphries; David Marroni;
Terry Richardson; John Van Schaik; and Suzanne Wren.
[End of section]
Related GAO Products:
Force Structure: Army Needs to Provide DOD and Congress More Visibility
Regarding Modular Force Capabilities and Implementation Plans. GAO-06-
745. Washington, D.C.: September 6, 2006.
Force Structure: DOD Needs to Integrate Data into Its Force
Identification Process and Examine Options to Meet Requirements for
High-Demand Support Forces. GAO-06-962. Washington, D.C.: September 5,
2006.
Hurricane Katrina: Better Plans and Exercises Needed to Guide the
Military's Response to Catastrophic Natural Disasters. GAO-06-643.
Washington, D.C.: May 15, 2006.
Reserve Forces: Army National Guard's Role, Organization, and Equipment
Need to be Reexamined. GAO-06-170T. Washington, D.C.: October 20, 2005.
Reserve Forces: Plans Needed to Improve Army National Guard Equipment
Readiness and Better Integrate Guard into Army Force Transformation
Initiatives. GAO-06-111. Washington, D.C.: October 4, 2005.
Force Structure: Actions Needed to Improve Estimates and Oversight of
Costs for Transforming Army to a Modular Force. GAO-05-926. Washington,
D.C.: September 29, 2005.
Reserve Forces: An Integrated Plan Is Needed to Address Army Reserve
Personnel and Equipment Shortages. GAO-05-660. Washington, D.C.: July
12, 2005.
Reserve Forces: Actions Needed to Better Prepare the National Guard for
Future Overseas and Domestic Missions. GAO-05-21. Washington D.C.:
November 10, 2004.
Reserve Forces: Observations on Recent National Guard Use in Overseas
and Homeland Missions and Future Challenges. GAO-04-670T. Washington,
D.C.: April 29, 2004.
Homeland Defense: DOD Needs to Assess the Structure of U.S. Forces for
Domestic Military Missions. GAO-03-670. Washington, D.C.: July 11,
2003.
FOOTNOTES
[1] GAO, Reserve Forces: Plans Needed to Improve Army National Guard
Equipment Readiness and Better Integrate Guard into Army Force
Transformation Initiatives, GAO-06-111 (Washington, D.C.: Oct. 4, 2005)
and Reserve Forces: An Integrated Plan Is Needed to Address Army
Reserve Personnel and Equipment Shortages, GAO-05-660 (Washington,
D.C.: July 12, 2005).
[2] GAO, Reserve Forces: Actions Needed to Better Prepare the National
Guard for Future Overseas and Domestic Missions, GAO-05-21 (Washington,
D.C.: Nov. 10, 2004).
[3] GAO-06-111.
[4] To meet minimum deployment criteria, a unit must generally have at
least 80 percent of its mission-essential equipment on hand.
[5] GAO-05-660.
[6] GAO-06-111.
[7] Replacement plans for removed equipment and supplies are not
required for transfers in support of force restructuring adopted as a
result of planning, programming, budgeting, and execution process
decisions approved by the Secretary of Defense.
[8] GAO-06-111.
[9] GAO-06-111.
[10] GAO, Hurricane Katrina: Better Plans and Exercises Needed to Guide
the Military's Response to Catastrophic Natural Disasters, GAO-06-643
(Washington, D.C.: May 15, 2006).
[11] GAO-05-21.
[12] GAO-05-660.
[13] GAO, Force Structure: DOD Needs to Integrate Data into Its Force
Identification Process and Examine Options to Meet Requirements for
High-Demand Support Forces, GAO-06-962 (Washington, D.C.: Sept. 5,
2006).
[14] GAO, Force Structure: Capabilities and Cost of Army Modular Force
Remain Uncertain, GAO-06-548T (Washington, D.C.: Apr. 4, 2006).
[15] GAO-06-548T.
[16] GAO-06-548T.
[17] GAO-05-660 and GAO-06-111.
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