2011 2012 Business Nonprofit Criteria

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2011–2012

Criteria forPerformanceExcellence



The MalcolM Baldrige NaTioNal QualiTy award

A Public-Private Partnership

Building active partnerships in the public sector—and among theprivate sector and all levels o government—is undamental tothe success o the Baldrige Perormance Excellence Program inimproving national competitiveness. Privatesector support or theprogram in the orm o unds, volunteer eorts, and participationin public outreach continues to grow.

o ensure the continued growth and success o these partnerships,each o the ollowing organizations plays an important role.

Foundation for the Malcolm Baldrige

National Quality Award

Te Foundation or the Malcolm Baldrige National Quality Award was created to oster the success o the program. Teoundation’s main objective is to raise unds to permanently endow the award program.

Prominent leaders rom U.S. organizations serve as oundationtrustees to ensure that the oundation’s objectives are accom-

plished. A broad cross section o organizations throughout theUnited States provides fnancial support to the oundation.

National Institute of Standards

and Technology

Te National Institute o Standards and echnology (NIS),an agency o the U.S. Department o Commerce, manages theBaldrige Perormance Excellence Program. NIS promotesU.S. innovation and industrial competitiveness by advancingmeasurement science, standards, and technology in ways thatenhance economic security and improve our quality o lie. NIScarries out its mission in our cooperative programs, including

the Baldrige Perormance Excellence Program. Te other threeare the NIS laboratories, conducting research that advances thenation’s technology inrastructure and is needed by U.S. industry to continually improve products and services; the HollingsManuacturing Extension Partnership, a nationwide network o local centers oering technical and business assistance tosmaller manuacturers; and the echnology Innovation Program,

which provides costshared awards to industry, universities, andconsortia or research on potentially revolutionary technologiesthat address critical national and societal needs.

American Society for Quality

Te American Society or Quality (ASQ) assists in administeringthe award program under contract to NIS. ASQ’s vision is tomake quality a global priority, an organizational imperative, anda personal ethic and, in the process, to become the community or all who seek quality concepts, technology, or tools to improvethemselves and their world.

Board of Overseers

Te Board o Overseers advises the Department o Commerceon the Baldrige Perormance Excellence Program. Te board isappointed by the secretary o commerce and consists o distin-guished leaders rom all sectors o the U.S. economy.

Te board evaluates all aspects o the program, including theadequacy o the Criteria and processes or determining awardrecipients. An important part o the board’s responsibility is tassess how well the program is serving the national interest anneeded, recommend changes and improvements to the secretao commerce and to the director o NIS.

Board of ExaminersTe Board o Examiners evaluates award applications and prepeedback reports. Te Panel o Judges, part o the Board o Examiners, makes award recommendations to the director o NIS. Te board consists o leading experts rom U.S. busineand education, health care, and nonproft organizations. NISselects members through a competitive application process. Tcurrent board consists o more than 575 members. O these, 1(who are appointed by the secretary o commerce) serve as judand approximately 90 serve as senior examiners. All members the board must take part in an Examiner Preparation Course.

Board members also play a signifcant role in sharing inormat

about the program. Teir membership in hundreds o proes-sional, trade, community, and state organizations helps themdisseminate this inormation.

Award Recipients

Award recipients are required to share inormation on theirsuccessul perormance strategies with other U.S. organizationHowever, recipients are not required to share proprietary inotion, even i such inormation was part o their award applicatTe principal mechanism or sharing inormation is Te QuesExcellence® Conerence, held annually. wo regional conerenare also held annually to oer additional orums or sharing th

applicants’ best practices.For more than 20 years, award recipients have demonstrated tcommitment to improving U.S. competitiveness and urtherinthe U.S. pursuit o perormance excellence by also generously sharing inormation with hundreds o thousands o companieeducation organizations, health care organizations, governmenagencies, nonproft organizations, and others. Tis sharing arexceeds expectations and program requirements. Tese eortshave encouraged many other organizations in all sectors o theU.S. economy to undertake their own perormance improvemeorts.

The Alliance for Performance ExcellenceTe Alliance or Perormance Excellence (http://www.baldrige.org/alliance), a nonproft national network, aims to enhance success and sustainability o its member Baldrigebased prograTe Alliance’s member organizations promote the use o theBaldrige Criteria; disseminate inormation on the Baldrige Awprocess and Baldrige concepts; serve as a eeder system or thenational program, providing a signifcant number o examinerand award applicants; network with the Baldrige PerormanceExcellence Program and each other; and receive and use theBaldrige Criteria or Perormance Excellence and other prograand training materials rom the national program.

http://www.baldrigepe.org/alliance






Baldrige Performance Excellence ProgramNational Institute of Standards and Technology • Department of Commerce

To: U.S. Oz

From: H S. Hz, D

B P Ex P

Subject: W I B I Y N?

B B C P Ex ! B -, - z. B B C .

I B C ? N! B ’ W C ? Y. W ? Y. W ? Y. A ? Y .

W z ; , , , ;

, C , , . T C ISO 9000, L, B S Sx S.

H B ? Oz P 4–6. A B . F , Your Guide to Performance Excellence.

D ? O ? Are We Making Progress? Are We Making Progras Leaders? . Oz B C , z .

E ’ x B A, . E x.

T C . . . . W ? W , x. I , @..

Need some useful tools to begin the Baldrige challenge? Try using • Getting Started with the Baldrige Criteria,

available on our Web site at http://www.nist.gov/baldrige/enter/self_started.cf m• easyInsight: Take a First Step toward a Baldrige Self-Assessment,

available at http://www.nist.gov/baldrige/publications/easy_insight.cf m

• Are We Making Progress? and Are We Making Progress as Leaders?

available at http://www.nist.gov/baldrige/publications/progress.cf m• Optional Self-Analysis Worksheet (Word le to download),

available at http://www.nist.gov/baldrige/publications/business_nonprot_criteria.cf mBesides using these resources from the Baldrige Performance Excellence Program, visit

http://www.baldrigepe.org/alliance to get support from Baldrige-based programs in your state or local are

Baldrige Performance Excellence Program • NIST • Administration Building, Room A600 • 100 Bureau Drive, Stop 1020 • Gaithersburg, MD 20899Telephone: (301) 975-2036 • Fax: (301) 948-3716 • E-Mail: [email protected] • Web Site: http://www.nist.gov/baldrige

mailto:[email protected]

http://www.nist.gov/baldrige/enter/self_started.cfm



http://www.nist.gov/baldrige/publications/easy_insight.cfm



http://www.nist.gov/baldrige/publications/progress.cfm



http://www.nist.gov/baldrige/publications/business_nonprofit_criteria.cfm







http://www.nist.gov/baldrige












The QuesT for excellence

The 23rd and 24th Annual Quest for Excellence ® ConferencesE , T Q Ex, M B N Q A, B A x , , , z. T 23 Q Ex 2010 , 24

A Q Ex 2011 .

S 1988, x, , -z x.C x (CEO) z B C, x, . A - xz , .

T A 3–6, 2011, M W P H W, D.C., A 15–18, 2012, . F , B P : B P Ex P, NIS,

A B, R A600, 100 BD, S 1020, G, MD 20899-1020; : (301) 975-2036; x: (301) 948-3716; -:

@.. F BP Ex P, B W: ://../.

The Malcolm Baldrige

National Quality Award T P U S W, D.C. T , , 14 . T z, ’

. A 22- - . T “T Q Ex” P S .

Crystal by Steuben

The Malcolm Baldrige National Quality Award logo and the phrases “The Quest for Excellence” and “Performance Excellence” are trademarks and

service marks of the National Institute of Standards and Technology.







conTenTs

The 2011–2012 Criteria for Performance Excellence 1 C P Ex F

3 C P Ex—I L

4 C P Ex

4 P: Oz P

7 1 L

10 2 S P

13 3 C F

16 4 M, A, K M

18 5 W F

21 6 O F

23 7 R

About the Criteria 27 C 2009–2010 C

29 C R G34 C I D

49 C V C

55 K C C

56 G K

Scoring

66 S S

68 P S G

69 R S G

Application Information 71 A M B N Q A

72 F 2011 2012 A C

73 S E R

74 H O B P Ex P M

76 Ix K

Education and health care organizations should use the appropriate Criteria booklets for their respective sectors. See pages 74–75 for ordering information.

If you plan to apply for the award in 2011 or 2012, you also will need the Baldrige Award Application

Forms, which can be downloaded at http://www.nist.gov/baldrige/publications/Award_Application.cfm

The award application process consists of two steps: the rst is to provide a completedEligibility Certication Package, and the second is to submit a completed Award Application Packag

See pages 71–73 for due dates and other information. We are easy to reach. Our Web site is http://www.nist.gov/baldrige.

http://www.nist.gov/baldrige/publications/Award_Application.cfm






Baldrige Criteria for Performance Excellence FrameworkA Systems Perspective

2StrategicPlanning

1Leadership

3Customer

Focus

5Workforce

Focus

7Results

6Operations

Focus

4Measurement, Analysis, and Knowledge Management

Organizational Profile:Environment, Relationships, and Strategic Situation



criTeria for Performance excellence framework

T C P Ex , :

1 Leadership 2 Strategic Planning 3 Customer Focus 4 Measurement, Analysis, and Knowledge

Management5 Workforce Focus 6 Operations Focus7 Results

T .

F , .

Organizational Prole Y Oz P ( ) x z . Y z’ , , — , , — z .

Performance System

T x B .

L ( 1), S P ( 2), C F ( 3) . T z .S z z.

W F ( 5), O F ( 6 R ( 7) . Yz’ z .

A R—

, - , - , , .

T z , z . F, L ( 1) R( 7). T -

System Foundation M, A, K M( 4) z -, - . M, .

Criteria Structure T C .

Items

T 17 , . I 3. T 29.

Areas to Address I ().Oz .



Baldrige Performance Excellence ProgramHonors the 2008 Award Recipients

O D 2, 2009, W, D.C., 2008 B A : C CM N A (CCM) Wz, M (); I-S S (I-SS) S, N C(); P V H S (PVHS) FC, C ( ). C , (1) U.S. V P J B; (2) U.S. S C G L; (3) S L, I-SS C

B E D W. C, I-SS S B J, F M B N Q A C J Ax; (4) M H, M B; (5) S L, PVHS D PI P J. N, PVHS P/CEO R F.S, J Ax; (6) S L, CCM P A W, C, I. C C Ex OG P, J Ax.



criTeria for Performance excellence —iTem lisTing

P Preface: Organizational Prole P.1 Oz D

P.2 Oz S

Categories and Items Point Values 1 Leadership 120

1.1 S L 70

1.2 G S R 50

2 Strategic Planning 85 2.1 S D 40

2.2 S I 45

3 Customer Focus 85 3.1 V C 45

3.2 C E 40

4 Measurement, Analysis, and Knowledge Management 90 4.1 M, A, I

Oz P 45

4.2 M I, K, I 45

5 Workforce Focus 85 5.1 W E 40

5.2 W E 456 Operations Focus 85

6.1 W S 45

6.2 W P 40

7 Results 450 7.1 P P O 120

7.2 C-F O 90

7.3 W-F O 80

7.4 L G O 807.5 F M O 80

TOTAL POINTS 1,000

Note: The scoring system used with the Criteria itemsin a Baldrige assessment can be found on pages 66–70.

1



criTeria for Performance excellence

The Importance of Beginning with Your Organizational Prole Y Oz P

• it is the most appropriate starting point for self- ;

• it helps you identify potential gaps i ;

• it is used by the examiners and judges in application review, including the site visit, to understand your organization ( C z’, , , , Oz P);

• it also may be used by itself for an initial self-. I , , , Oz P , .

P Preface: Organizational Prole Organizational Profile:

Environment,Relationships and Strategic Situation

2Strategic

5

Planning

1Leadership

3

Focus

CustomerFocus

Operations

Workforce

7Results

6

Focus


T Organizational Prole z, key how , key .

P.1 Organizational Description: What are your key organizational characteristics? Describe your organization’s operating environment and your key relationships with customers, suppliers, partners, and stakeholders.

W , :

a. Organizational Environment (1) Product Oerings W z’ ( 1 )? W

z ? W ?

(2) V ision and mission W z ? W

purpose, vision, values, mission? W z’ core competencies mission?

(3) W orkforce Prole W workforce ? W workforce segments? W ? W key mission vision? W z’ workforce diversity, z , key workforce, ?

(4) Assets W , , ?

(5) Regulatory Requirements W z ? W ; , , ; ; , , ?

b. Organizational Relationships (1) Organizational Structure W z governance ? W

governance , senior leaders, z, ?

(2) customers and stakeholders W key segments, customer , stakeholder , ? W key x , customer , ? W x segments, customer , stakeholder ?

(3) Suppliers and p artners W key , partners, collaborators? W , partners, collaborators key customer ? W key , partners, collaborators?

W , , z innovations z? W key - ?



Notes: N1. “P ” “” (P.1[1]) . S z . For som. M - nonprofit organizations, requirements also might include admi , , - istrative cost reductions, at-home services, and rapid response to, . Nonprofit organizations might emergencies.refer to their product offerings as programs, projects, or services.

N6. C (P.1[3])

N2. “C ” (P.1[2]) z- - , ’ x. Y z’ , -, W-, . F z, , . . C

N7. Many nonprofit organizations rely heavily on volunteers to accomplish their work. These organizations should include . A, volunteers in the discussion of their workforce (P.1a[3]). .

N8. For nonprofit organizations, industry standards (P.1a[5])N3. W ( might include industrywide codes of conduct and policy guidanz ; P.1[3]) The term “industry” is used throughout the Criteria to refer to ,

the sector in which you operate. For nonprofit organizations, th, , , - , sector might be charitable organizations, professional association

. and societies, religious organizations, or government entities—oN4. C (P.1[2]) subsector of one of these.x, , , . W N9. For some nonprofit organizations, governance and reportin

relationships (P.1b[1]) might include relationships with major . Y agency, foundation, or other funding sources. , , , , N10. Customers (P.1b[2]) include the users and potential user

z of your products. In some nonprofit organizations, customers

. might include members, taxpayers, citizens, recipients, clients,and beneficiaries. Market segments might be referred to as

N5. C constituencies.

(P.1[2]) - , ,, , ,

F , 34–35., , - ,

Information for Understanding All Criteria Items For denitions of key terms presented throughout the Criteria and scoring guidelines text in small caps, see theGlossary of Key Terms on pages 56–64.

Frequently, several questions are grouped under one number (e.g., P.1a[3]). Tese questions are related and donot require separate responses. Tese multiple questions serve as a guide in understanding the full meaning of tinformation being requested.

Te items in the Baldrige Criteria are divided into three groups: the Preface , which denes your organizationalenvironment; categories 1–6, which dene your organization’s processes ; and category 7, which contains yourresults for your organization’s processes. Only responses to the last two groups are scored during a Baldrige

Award evaluation of an organization; the Organizational Prole items are used to provide context for theevaluation.

Item notes serve three purposes: (1) to clarify terms or requirements presented in an item, (2) to give instructioand examples for responding to the item requirements, and (3) to indicate key linkages to other items. In allcases, the intent is to help you respond to the item requirements.

A number of item notes include guidance specically for nonprot organizations. Tis information appears in ital



P.2 Organizational Situation: What is your organization’s strategic situation?Describe your organization’s competitive environment, your key strategic challenges and adVantages, and your systemfor performance improvement.

W , :

a. Competitive Environment (1) Competitive Position W ? W z

? W z?

(2) Competitiveness Changes W key , innovation , ?

(3) Comparative Data W key ? W key ? W , , ?

b. Strategic Context W key , , , strategic challenges advantages?

c. Performance Improvement System W key performance , , z learning, innovation processes?

Notes: N1. S (P.2) , , , , , z, , .S , , , x, , . For some nonprofit organizations, differentiators also might include

your relative influence with decision makers, ratio of administra-tive costs to programmatic contributions, reputation for program

or service delivery, and wait times for service.

N2. P (P.2) z ( 66–70). T B x x . A B

z’ L E S, Sx S, ISO (.., 9000 14000), .

A z

N3. Nonprofit organizations frequently are in a highly competitive environment; they often must compete with other

organizations and with alternative sources for similar services tosecure financial and volunteer resources, membership, visibility inappropriate communities, and media attention.

N4. For nonprofit organizations, the term “business” (P.2b) is used throughout the Criteria to refer to your main mission area oenterprise activity.

F , 35.

Page Limit

F B A , Oz P . T . Oz P . T Baldrige Award Application Forms, ://..///A_A..





Organizational Profile:Environment,Relationships,and Strategic Situation

2StrategicPlanning

3Customer

ocus

5Workforce

Focus

Re

6Operations

Focus


traPlan

1

CusFo

Leadership (120 pts.) 1

T Leadership x how z’ senior leaders’ z. A x z’ governance how z , , key .

1.1 Senior Leadership: How do your senior leaders lead? (70 pts.)

Proce

Describe hoW senior leaders’ actions guide and sustain your organization. Describe hoW senior leaders communicate with your Workforce and encourage high performance.

W , :

a. Vision, Values, and mission

(1) V ision and V alues How senior leaders z’ vision values? How senior leadersdeploy z’ vision values leadership system, workforce, key partners, customers stakeholders, ? How senior leaders’ z’ values?

(2) Promoting Legal and ethical BehaVior How senior leaders’ ethical behavior? How z ?

(3) Creating a sustainaBle Organization How senior leaders sustainable z? How seniorleaders ?

z• performance , mission strategic objectives, innovation, performance , z

• workforce customer x customer engagement

z • workforce learning

•

z• learning, , z

b. Communication and Organizational Performance

(1) Communication How senior leaders workforce? How senior leaders ?

, - z•

• key

• high performance customer

(2) Focus on Action How senior leaders z’ , performance, vision? How senior leaders ? How senior leaders value customers stakeholders z performance x?

Notes:

N1. Oz (1.1[1]) x , 2.1 2.2.

N2. A z (1.1[3]) , , . B x . I x, z z .

A z .

A z’ , , ( 1.2).

N3. A (1.1[2]) , , , z. I



N5. For nonprofit organizations that rely on volunteers to; Sx S L. I accomplish their work, responses to 1.1b(1) also should discuss z’ your efforts to communicate with and engage the volunteer ( 2.2[1]). workforce.

N4. Y z 7.1–7.5. F , 35–36.

1.2 Governance and Societal Responsibilities: How do you govern andfulll your societal responsibilities? (50 pts.) Process

Describe your organization’s goVernance system and approach to leadership improvement. Describe hoW your organiza-tion ensures legal and ethical BehaVior , ullls its societal responsibilities, and supports its key communities.

W , :

a. Organizational goVernance

(1) goVernance System How z key governance?

• ’

• • governance ,

• x

• stakeholder ,

(2) performance Evaluation How performance senior leaders, x? How performance x ? How performance governance , ? How senior leaders governance performance effectiveness leadership system, ?

b. Legal and eThical BehaVior

(1) Legal and Regulatory Behavior How ?

How ? How , effective - processes, ? W key processes, measures, goals , ? W key processes, measures, goals ?

(2) ethical BehaVior How z ethical behavior ? W key processes measures indicators ethical behavior governance, z, customers, partners, , stakeholders? How ethical behavior?

c. Societal Responsibilities and Support of key Communities (1) Societal Well-Being How -

? How - , , ?

(2) Community Support How z key ? W key ? How z , core competencies? How senior leaders, workforce, ?



Notes: N1. S z’ S D ( 2.1) O F( 6). K , ( );

“” , - , ; , , L G O ( 7.4).

N2. (1.2[1]) . For some nonprofit organizations, an external advisory board may provide some or all of the governance board functions.For those nonprofit organizations that serve as stewards of public

funds, stewardship of those funds and transparency in operations are areas of emphasis.

N3. L (1.2[2])

, , . For some nonprofit and

government organizations, external advisory boards might evaluate the performance of senior leaders and the governance board.

N4. M (1.2[2]) ,

, , z , , . T ,

, .

N5. A 1.2 (.., ); ,, ; ,, .

N6. T 1.2; 5.1.

N7. Nonprofit organizations should report in 1.2b(1), as appr priate, how they address the legal and regulatory requirements astandards that govern fundraising and lobbying activities.

N8. For some charitable organizations, societal contributions asupport of key communities (1.2c) may occur totally through thmission-related activities of the organization. In such cases, it isappropriate to respond with any “extra efforts” through which ysupport these communities.

F , 36–37.

Assessment of Item Responses I C ; Oz P; , , . R 66–70.

I see the Baldrige process as a powerful set of mechanisms for disciplined people engaged in disciplined thought and taking disciplined action to create great organizations that produce exceptional results.

—J C, Good to Great:Why Some Companies Make the Leap . . . and Others Don’t



ofile:and Strategic Situation

1Leadership

Focus

5orkforceFocus

7Results

6Operations

Focus


rganizational Profinvronment, ea t on s,s and Str

rsh p

CustomerFocus

W

Op

Strategic Planning (85 pts.) 2 T Strategic Planning x how z strategic objectives action plans. A x how strategic objectives actionplans , how .

2.1 Strategy Development: How do you develop your strategy? (40 pts.) Process

Describe hoW your organization establishes its strategy to address its strategic challenges and leverage its strategic

adVantages. Summarize your organization’s key strategic oBjectiVes and their related goals.

W , :

a. Strategy Development Process

(1) Strategic Planning process How z ? W key process? W key ? How process ? How core competencies, strategic challenges, strategic advantages ( OzP)? W - - z? How z ? How process z?

(2) Strategy Considerations How key ? How z process?

• z’ , , , • , , , customer , , ,

• - z sustainability, core competencies, projections performance ’ z’ performance

• x

b. sTraTegic oBjecTiVes

(1) k ey strategic oBjectiVes W key strategic objectives ? W goals strategic objectives?

(2) strategic oBjectiVe Considerations How strategic objectives ?

• strategic challenges strategic advantages

• innovation , , • z core competencies core competencies

• - -

• key stakeholders

•

Notes: N1. “S ” z’ . S z , , ,, ( 4.2 z), . S ,, , . For some nonprofit organizations, strategy development might involve participation by organizations providing similar services or drawing from the same donor population or volunteer workforce.

N2. T “” .S : ; ; ; ;

, , ; ; ; .S , ’ ’ , - , , - z . I .

N3. Y z’ , , , (2.1[2]) z’ , , : , x, ; - ; ;



z; ; , ; ; z ; - , , ; ,

, , , , , ; , ; ; ; z; z.

N4. Y x (2.1[2]) z . I z , , x .

N5. S (2.1[2]) ,z, -

, , , , ISO , , W- ,

. R 2.1 — z .

N6. I 2.1 z , . H, ; 3.2 6.1, .

F , 37–38.

2.2 Strategy Implementation: How do you implement yourstrategy? (45 pts.) Proce

Describe hoW your organization converts its strategic oBjectiVes into action plans. Summarize your organization’s action plans, hoW they are deployed, and key action plan performance measures or indicators. Project your organiza-tion’s future performance relative to key comparisons on these performance measures or indicators.

W , :

a. acTion Plan Development and DePloymenT

(1) a ction plan Development How action plans? W key - - action plans strategic objectives? W key , ,

, customers , partners, ?(2) a ction plan Implementation How deploy action plans z workforce

key partners, , key strategic objectives? How key action plans ?

(3) Resource Allocation How action plans, ? How ? How z?

(4) W orkforce Plans W key workforce - - strategic objectives action plans? How workforce workforce capability capacity ?

(5) performance measures W key performance measures indicators effectiveness action plans? How action plan z alignment? How key deployment stakeholders?

(6) a ction plan Modication How action plans x ?

b. Performance ProjecTions

F key performance measures indicators 2.2(5), performance projections - - z? H performance measures indicators performance z? H key benchmarks, goals, performance, ? I performance z, how ?



Notes: N1. S C. T x :

• 1.1 z

• 3

• 4 , , , , ,

• 5 ,

, -

• 6 , ,

• 7.1 z

N2. M (2.2) ; z ; ; ; , , ; .

F , 38–39.

Te Baldrige Award Program is still one of the best in the entire maelstrom of awards. Tere’s the

Nobel Prize, the Oscars, and all that, but the Baldrige Award is right up there! It’s inspiring.It’s exciting. It makes us proud.

—L B, x, J K, M B



3 Customer Focus (85 pts.)Organizational Profile:

Environment,Relationships,and Strategic Situation

2StrategicPlanning

1Leadership

5Workforce

Focus

Re

6Operations

Focus

and Knowledge Management

l

sh p

Op

4Measurement, Analysis, and Knowle

T C ustomer Focus x how z customers - . T engagement how z voice of its customers, customer , customer innovation.

3.1 Voice of the Customer: How do you obtain informationfrom your customers? (45 pts.) Proce

Describe hoW your organization listens to your customers and gains satisfaction and dissatisfaction information.

W , :

a. cusTomer Listening (1) Listening to Current customers How customers ? How

customers, customer , segments? How W- customers, ? How customer ? How customers , customer , ?

(2) Listening to Potential customers How customers, customers, customers

, customer , , ?

b. Determination of cusTomer Satisfaction and engagemenT

(1) Satisfaction and engagement How customer engagement? How customer segments, ? How x customers’ x customersengagement?

(2) Satisfaction Relative to Competitors How customers’ ? How customers’ levels customers z products benchmarks, ?

(3) Dissatisfaction How customer ? How customers’ x x ?

Notes: N1. T “ ” - . V--- , , , x, . T . L

, , , , , , ’ .

N2. U W- (3.1[1]) . U z z

, , , z.

N3. T (3.1[1]) - . T , , x, .

N4. D (3.1) :, , , , , / , , . I W, , . D . D



. .

N5. D (3.1[2]) N6. For additional considerations on products and the business , of nonprofit organizations, see item P.1, note 1, and item P.2,z note 4., z. D F , 39–40.

3.2 Customer Engagement: How do you engage customers to servetheir needs and build relationships? (40 pts.) Process

Describe hoW your organization determines product oerings and communication mechanisms to support customers.Describe hoW your organization builds customer relationships.

W , :

a. Product Offerings and cusTomer Support (1) Product Oerings How customer ? How

x x customer segments ( Oz P)? How

, customers, x x customers, ?

(2) customer Support How customers customer ? How customer ? W key customer , key ? How customers, customer , segments? How customers’ key ? How customer deployed processes customer ?

(3) customer Segmentation How customer, , customer segments? How customers customers ? How customers, customer , segments ?

(4) customer Data Use How customer, , , customer- , innovation?

b. Building cusTomer Relationships (1) Relationship Management How , , customers

?

• customers

• customers, , x x customer

• engagement

(2) Complaint Management How customer ? How customer process effectively? How customer

process customers’ engagement?



Notes: N1. “C ” ’ . C , ’

— — z, ’

.N2. “P ” “” . P (3.2) “ .” T — x, z’. T , , ,

, , , z , . K . Y

7.1, () 7.2.

N3. T (3.2[2]) z ’ x.

N4. B (3.2) .

F , 40.

Te veteran is the benefactor of what we provide . . . and I think that the Baldrige Programactually enabled us to transform the organization from being good to a great organization,one that is very high-performing.

—M S, 2009 B A VA C S P C R P C C

We didn’t apply the [Baldrige] concepts . . . to win an award. We did it to win customers. We did it to grow. We did it to prosper.

—E D, CEO 1993 B A E C C



Strategic WorkforcePlanning Focus

1

2 5

Leadership

3 6Customer Operations

Focus Focus


7Results

Measurement, Analysis, and Knowledge Management (90 pts.) 4

T Measurement, A nAlysis , and Knowledge Management x how z , , z, , , , knowledge assets how . T x how z performance.

4.1 Measurement, Analysis, and Improvement of Organizational Performance: How do you measure, analyze, and then improve organizational performance? (45 pts.) Process

Describe hoW your organization measures, analyzes, reviews, and improves its performance through the use of data and information at all levels and in all parts of your organization.

W , :

a. Performance Measurement (1) performance measures How , , ,

z performance, strategic objectives actionplans? W key z performance measures, key - -

measures? H measures? How z innovation?

(2) Comparative Data How effective key innovation?

(3) customer Data How effective voice-of-the-customer ( ) innovation?

(4) Measurement Agility How performance x z x ?

b. Performance analysis and Review How z performance ? How key z performancemeasures ? W analyses ?How z , performance, , strategic objectives action plans? How z’ z ?

c. Performance Improvement (1) Best-Practice Sharing How performance

z work processes?

(2) Future performance How performance key performance?

(3) Continuous Improvement and innoVation How z performance innovation? How deployed - z? W , how

deployed , partners, collaborators z alignment?

Notes: N1. P (4.1) - z , ,, z .

N2. C (4.1[2]) .

“B” , z’ . C z’ z .



N3. Oz (4.1) z C , 2.1 2.2. T x B.

N4. P (4.1) x

; z, , ; , - , . P , ,

. A, : -, ,, .

N5. T z z 2.

N6. Y z 7.1–7.5.

F , 40–42.

4.2 Management of Information, Knowledge, and Information Technology: How do you manage your information, organizational knowledge,and information technology? (45 pts.) Proce

Describe hoW your organization builds and manages its knoWledge assets. Describe hoW your organization ensures thequality and availability of needed data, information, software, and hardware for your Workforce, suppliers, partners,collaBorators, and customers.

W , :

a. Data, Information, and Knowledge Management (1) Properties How z , ,

?

•

•

•

•

(2) Data and Information Availability How workforce,

, partners, collaborators, customers, ?

(3) Knowledge Management How z ?

• workforce

• customers, , partners, collaborators

• , ,

• innovation processes

b. Management of Information Resources and Technology

(1) Hardware and Software Properties How , , -?

(2) Emergency Availability I , how

effectively customers ?

Note: N1. D (4.2[2]) .

F , 42–43.



,

5 Workforce Focus (85 pts.)Organizational Pr

Environment,Relationships,

2StrategicPlanning

1Leadership

3Customer

Focus

Results

Focus


F

ganizational Profile:lationshi s, and Strategic Situation

r

Result

Operations

T W orkforCe Focus x workforce capability capacity workforce high performance.T x how z , ,

workforce z alignment z’ mission, , action plans.

5.1 Workforce Environment: How do you build an effective andsupportive workforce environment? (40 pts.) Process

Describe hoW your organization manages Workforce capaBility and capacity to accomplish the work of the organization.Describe hoW your organization maintains a safe, secure, and supportive work climate.

W , :

a. workforce caPaBiliTy and caPaciTy

(1) c apaBility and c apacity How workforce capability capacity , ,, ?

(2) New W orkforce Members How , , , workforce? How workforce , , customer ?

(3) Work Accomplishment How z workforce ?

z•

z z’• core competencies

• customer

x• performance x

• strategic challenges action plans

(4) W orkforce Change Management How workforce capability capacity ? How workforce, , , workforce, z workforce , ? How workforce ?

b. workforce Climate (1) Workplace Environment How , ,

workforce , , ? W performance measures goals workforce ? W performance measures ?

(2) W orkforce Policies and Benets How workforce , , ? how workforce workforce segments?

Notes: N1. “W” z. I z’ , , - , z. I , , . P 6 . For nonprofit organizations that also rely on volunteers, “workforce” includes these volunteers.

N2. “W ” (5.1) z’ , , , . C

; ; , , ; , , .

“W ” (5.1) z’

, .

N3. W 2.



N4. 5.1(2) . , x , , 5.2, W E. .

N5. P F , 43. (5.1[4]) , ,

5.2 Workforce Engagement: How do you engage your workforce toachieve organizational and personal success? (45 pts.) Proce

Describe hoW your organization engages, compensates, and rewards your Workforce to achieve high performance.Describe hoW you assess Workforce engagement and use the results to achieve higher performance. Describe hoW

members of your Workforce, including leaders, are developed to achieve high performance.

W , :

a. workforce Performance

(1) Elements of engagement How key workforce engagement? How key workforce ? How

workforce segments?

(2) Organizational Culture How z z ,

high-performance work, workforce? How z , , workforce?

(3) performance Management How workforce performance ?

• high-performance work workforce engagement

• workforce , , ,

• customer action plans

b. Assessment of workforce engagemenT

(1) Assessment of engagement How workforce engagement? W measures workforce engagement workforce ?How measures workforce segments? How indicators, workforce , , , , productivity,

workforce engagement?

(2) Correlation with Business r esults How workforce engagement key results 7 workforce engagement results?

c. workforce and Leader Development (1) l earning and Development System How learning

workforce ?

• z’ core competencies, strategic challenges, action plans, - -

• z performance innovation

•

• customer

• learning , - ,, senior leaders

• workforce

•

(2) l earning and Development effectiVeness How effectiveness learning ?

(3) Career Progression How effective workforce? how effective ?



Notes: N1. “W ” x , , , , z.

N2. T “- ” (5.2[2] 5.2[3]),

z, .T “- ” 58.

N3. C, , (5.2[3]) , , . In some government organizations, compensation systems are set by law or regulation. However, since recognition caninclude monetary and nonmonetary, formal and informal, and individual and group mechanisms, reward and recognition systems do permit flexibility.

N4. I (5.2[2]) - 7.3 - z 7 .

N5. Y z

, , . I , 5.2 . Y z , , ,, , - x.

F , 43–45.

If you’re considering your own Baldrige quest, please do that. I would encourage you to get your team and your leadership behind such a journey. It’s a very rewarding journey. It really brings your team together, all of your employees. It builds upon success and allows you to strive for continuous improvement in delivering

for your customer and then internally driving employee satisfaction and engagement.

—A B, III, 2009 B A H F M & , L.L.C.

When we open a new store we give every hourly employee 120 hours of training. Someone said, “What if you spend all that money and time and they leave?” And I said, “What if you don’t and they stay?”

—P B, 2001 B A P’ S S



6 Operations Focus (85 pts.)T o perAtions f oCus x how z , , work systems work processes customer value z sustainability. A x .

6.1 Work Systems: How do you design, manage, and

improve your work systems? (45 pts.)

Proce


2StrategicPlanning

1Leadership

3Customer

Focus

5Workforce

Focus

Re

Measurement, Analysis,

ocus

r

e

4ysis, and Knowledge Management

6 Operations

Focus

Describe hoW your organization designs, manages, and improves its Work systems to deliver customer Value, prepare forpotential emergencies, and achieve organizational success and sustainaBility .

W , :

a. work sysTem Design (1) Design Concepts How work systems? How z

core competencies? How processes work systems z ( key work processes) x ?

(2) W ork s ystem Requirements How key work system , customers, , partners, collaborators, ? W key

work systems?

b. work sysTem Management (1) W ork s ystem Implementation W z’ work systems? How

work systems customer value z sustainability?

(2) Cost Control How work systems? How , , z customers’ productivity , ? How z , , process performance , ?

c. Emergency Readiness How work system ? How , , , ?

Notes: N1. “W ” z . W , , , , . Y

x , , .

N2. D (6.1) -, -, -, , . E 4.2.

F , 45.

To get the process exactly right is going to be cheaper and is going to be better.

—B G, 1988 B A M



6.2 Work Processes: How do you design, manage, and improveyour key work processes? (40 pts.) Process

Describe hoW your organization designs, manages, and improves its key Work processes to deliver customer Value and achieve organizational success and sustainaBility .

W , :

a. work Process Design (1) Design Concepts How work processes key ? How

, z , x, processes? How cycle time, productivity, , effectiveness processes?

(2) W ork process Requirements How key work process ? W z’key work processes? W key work processes?

b. work Process Management (1) k ey W ork process Implementation How key work processes work systems? How

-- processes key process ? W key performance measures indicators - measures work processes?

(2) Supply-Chain Management How ? How

performance customer ? How performance? How ?

(3) process Improvement How work processes performance, , ?

Notes: N1. Y (6.2[2]) , , -, , . Y z’ , , . “P” x.P .

N2. (6.2[3]) , z

L E S, Sx S , ISO , P-D-C-A, . T P.2 OzP.

N3. T 7.1.

F , 45–46.

Te economic environment is dicult for Cargill Corn Milling, as it is dicult for many manufacturing companies today. But . . . by utilizing the processes and tools that we’ve learned from Baldrige, we’re able to not only meet these challenges but actually excel in them.

—A W, 2008 B A C C M



f7 Results (450 pts.)Organizational Profile:

Environment,Relationships,and Strategic Situation

2StrategicPlanning

1Leadership

3Customer

Focus

5Workfor

Focus

6Operations

Focus


orceus

ionsusT r esults x z’ performance

key — process , customer- , workforce- , governance , . Performance levels x z .

7.1 Product and Process Outcomes: What are your product performanceand process effectiveness results? (120 pts.) Resu

Summarize your organization’s key product performance and process effectiVeness and efciency results. Includeprocesses that directly serve customers, strategy, and operations. segment your results by product oerings, by custome

groups and market segments, and by process types and locations, as appropriate. Include appropriate comparative data.

P :

a. cusTomer-Focused Product and Process resulTs

W levels trends key measures indicators process performance customers? H results performance z ?

b. Operational Process effecTiVeness resulTs

(1) Operational effectiVeness W levels trends key measures indicators performance key work systems processes, productivity, cycle time, measures process effectiveness, , innovation?

(2) Emergency Preparedness W levels trends key measures indicators effectiveness work system ?

c. Strategy Implementation resulTs

W results key measures indicators z actionplans, core competencies?

Notes: N1. R 7.1 z ( 4.1); z (4.2); - ( 7.2) ( 7.5).

N2. P 7.1 x P.1(2), 3.1 3.2. T , P.1,

5, 3.2, 2.N3. R 7.1 Oz P 6.1 6.2.

N4. A (7.1) , --, x

, , ; ; , , ;

; ; x;

x.

N5. M (7.1) 2.1(1) 2.2(5) 2.2, .

N6. For some nonprofit organizations, product or service performance measures might be mandated by your funding sourcesThese measures should be identified and reported in your responto this item.

F , 46–47.



7.2 Customer-Focused Outcomes: What are your customer-focusedperformance results? (90 pts.) Results

Summarize your organization’s key customer -focused results for customer satisfaction, dissatisfaction, and engagement.segment your results by product oerings, customer groups, and market segments, as appropriate. Include appropriatecomparative data.

P :

a. cusTomer-Focused resulTs

(1) customer Satisfaction W levels trends key measures indicators customer ? H results customer levels z ?

(2) customer engagement W levels trends key measures indicators customer engagement, ? H results customer , ?

Notes: N1. C , , , N2. M ’ - ’

z (7.2[1]) P.1(2) 3 3.1. z.

F , 47–48.

7.3 Workforce-Focused Outcomes: What are your workforce-focusedperformance results? (80 pts.) Results

Summarize your organization’s key Workforce-focused results for your Workforce environment and for Workforce

engagement. segment your results to address the diVersity of your Workforce and to address your Workforce groups and

segments, as appropriate. Include appropriate comparative data.P :

a. workforce resulTs

(1) W orkforce c apaBility and c apacity W levels trends key measures workforcecapability capacity, ?

(2) W orkforce Climate W levels trends key measures indicators workforce, workforce , , workforce , ?

(3) W orkforce engagement W levels trends key measures indicators workforceengagement workforce ?

(4) W orkforce Development W levels trends key measures indicators workforce ?

Notes: N1. R 5. Y 6 z’ 2.2.

N2. R 7.3(3) 5.2(1).

N3. Nonprofit organizations that rely on volunteers should include results for their volunteer workforce, as appropriate.

F , 48.



7.4 Leadership and Governance Outcomes: What are your senior leadership and governance results? (80 pts.) Resu

Summarize your organization’s key senior leadership and goVernance results, including those for scal accountability,legal compliance, ethical BehaVior , societal responsibility, and support of key communities. segment your results by organizational units, as appropriate. Include appropriate comparative data.

P :

a. Leadership, goVernance, and Societal Responsibility resulTs

(1) Leadership W results key measures indicators senior leaders’ workforce deploy vision values, - , ?

(2) goVernance W key trends key measures indicators governance , x, ?

(3) Law and Regulation W results key measures indicators ?

(4) Ethics W results key measures indicators ethical behavior stakeholder z’ senior leaders governance? W results key measures indicators ethical behavior?

(5) Society W results key measures indicators z’ z’ key ?

Notes: N1. R 7.4(1) 1.1.

N2. R 7.4(2) , x , ’ . For some nonprofit organizations, results of IRS 990 audits also might be included.

N3. R (7.4[3]) 1.2. W- (.., O S H A [OSHA] ) 7.3(2).

N4. F x (7.4[4]), 1.2, 4.

N5. R 7.4(5) z’ 1.2(1) 1.2(1),

1.2(2)M - ;

, , (.., ); .

F , 48.

One of the big things about process is you measure everything and you nd you’re not quite as good as what you thought you were. But more importantly, you nd out specically the areas you need to improve.

—E Sz, CEO 1996 B A D C C C



7.5 Financial and Market Outcomes: What are your nancial and marketplace performance results? (80 pts.) Results

Summarize your organization’s key nancial and marketplace performance results by market segments or customer

groups, as appropriate. Include appropriate comparative data.

P :

a. Financial and Market resulTs

(1) Financial performance W levels trends key measures indicators performance, measures , , performance, ?

(2) Marketplace performance W levels trends key measures indicators performance, , , , ?

Notes: N1. R 7.5(1) , (ROI), , ,

. R , , -- , , z, . M 4.1(1) 2.2.For nonprofit organizations, additional measures might include

performance to budget, reserve funds, cost avoidance or savings,administrative expenditures as a percentage of budget, and the cosof fundraising versus funds raised.

N2. For nonprofit organizations, responses to 7.5a(2) might include measures of charitable donations or grants and the numbeof new programs or services offered.

F , 48.

If you want sustainability in an organization, and you want to go from “great” to “really, really great,” you’ve got to have some kind of a model . . . and Baldrige is that model! . . . MidwayUSA has benetted tremendously from the Baldrige Criteria: Our sales are up over 20 percent per year over the last ve years.Our prots are up over 40 percent per year for that same time. Customer satisfaction at 93 percent is at anall-time high. Employee satisfaction at 82 percent is at an all-time high also. All the winds are blowing inthe right direction at MidwayUSA and it’s all because of our eforts in engaging the Baldrige Criteria.

—L P, CEO 2009 B A MUSA

For seven years in a row, we’ve improved customer satisfaction, we’ve improved occupancy, we’ve improved employee satisfaction, we’ve lowered employee departures [and] turnover, and we improved annually our prot.

—H Sz, CEO 1999 B A T Rz-C H C, L.L.C.



changes from The 2009–2010 criTeria

T C P Ex z , - , , , , -z . T C

, z .

T -- B C . H, B P’ 20 , C . T z , , . W C, B P . O , C

x ; , C . S 2009, B P - C. S - C , , 2011–2012C P Ex.

T C : (1) x , (2)

.Cx z . ’ , , , z x. T B C x z x. H, C . W C x, z’ , , . H x x .

O z x. E ( ) z . W , , , C x. A , . W the line of sight from strategic challenges and advantages to core

competencies, to strategy, and then to work systems and work processes . T z x . W x, x. S

2011 C ’ .

T z . W z . T z z

W -

. L - . T z .

T C C z :

■ T 41 40, C 18 17, 2 P: Oz P .

■T C. T z , .

Preface: Organizational Prole

■ I P.1, Organizational Description, .S- 6

■I P.2, Organizational Situation, .

Category 1: Leadership ■ I 1.1, Senior Leadership,

.

■ I 1.2, Governance and Societal Responsibilities x .



Category 2: Strategic Planning ■ T z

.

■ I 2.1, Strategy Development , ’ . T .

■ I 2.2, Strategy Implementation, .

Category 3: Customer Focus ■ T

.

■ I 3.1, Voice of the Customer, , ,

.■ I 3.2, Customer Engagement ,

, , , . T , .

Category 4: Measurement, Analysis,

and Knowledge Management ■ I 4.1, Measurement, Analysis, and Improvement

of Organizational Performance, -- z

. U - 3. P - .

Category 5: Workforce Focus ■ T

.

■ I 5.1, Workforce Environment ,

.■ I 5.2, Workforce Engagement ,

.

Category 6: Operations Focus ■ T , Operations Focus,

.

■ I 6.1, Work Systems, x , .

■ I 6.2, Work Processes, . T - .

Category 7: Results■ T

1–6 x .

■ I 7.1, Product and Process Outcomes,

. T : (1) , z , ; (2)

z ; (3) - .

■ I 7.3, Workforce-Focused Outcomes, 5.

■ I 7.4, Leadership and Governance Outcomes x .

■ I 7.5, Financial and Market Outcomes, “ ” z.

Glossary of Key Terms ■ S G K

. T .

Results Scoring Guidelines ■ T

z , , . A, x 90–100% .



23

7 Results (450 pts.)

T Results xi izi’ perormance d i i key —d d process , customer-d , workorce-d , dhi d governance , d i d . Perormance levels xid i h i d hizi ih ii d fi.

Organzaona Prof ie :

E n vi o n m e n R e l a o n h p , a n d S a e g ic S u a o n

2SrategicPlanning

1Leadership

3Customer

Focus

5Workorce

Focus

7Resuts

6Operatons

Focus

4Measuremen Analysis,and KnowledgeManagement

forceus

7Results

tionsus

Criteria for Performance Excellence: Results

7.1 Product and Process Outcomes: What are your product performanceand process effectiveness results? (120 pts.)

Summarize your organization’s key product performance and process effectiveness and eciency results. Includeprocesses that directly serve customers, strategy, and operations. segment your results by product oferings, by customer

groups and market segments, and by process types and locations, as appropriate. Include appropriate comparative data.

P h g q:

a. Customer-Focused Product and ProCess results

Wh levels trends key measures indicators process perormance h customers? H h results h h perormance h gz h g?

b. Operational ProCess effeCtiveness results(1) Operational effectiveness Wh levels trends key measures indicators h

perormance key work systems processes, g productivity, cycle time, h measures process eectiveness, f, innovation?

(2) Emergency Preparedness Wh levels trends key measures indicators h eectiveness work system g?

c. Strategy Implementation results Wh results key measures indicators h h gz g actionplans, g bg ghg core competencies?

Results

Notes:

N1. R 7.1 h , , ; - gz ; , , ( 4.1); gz g ( ; jb jb ; 4.2); h b ; hg ; ( 7.2) g x; ( 7.5). g x.

N2. P 7.1 h N5. M g - h q x h (7.1) h g bj P.1b(2), b gh 3.1 g 2.1b(1) 3.2. T h h j 2.2(5) , h h P.1, 2.2b, . 5, 3.2, 2.

N6. For some nonprofit organizations, product or service per-N3. R 7.1b h formance measures might be mandated by your funding sources. q h Ogz P These measures should be identified and reported in your response 6.1 6.2. to this item.

N4. A F h , g 46–47.

(7.1b) gh , j , x

criTeria resPonse guiDelines

T C 17 C . F z B A, 50 .

T :

(1) C ,

(2)

(3)

To respond most effectively to the Criteria items, your organiza-tion also will find it important to refer to the scoring guidelines (pages 68–69), which describe how organizations can demonstrate increasing accomplishment and improvement relative to the requirements of the Criteria items.

General Guidelines 1. Read the entire Criteria booklet.

T C, - B x. Y :

■ ■ S S ( 66–70)

■ G K ( 56–64)

■ C I D ( 34–48)

2. Review the item format and understand how torespond to the item requirements. T ( ) , , . I .T . E C I D ( 34–48).

E process results, . G

30–31.G 32–33.

I . S . R

C P Ex ( 4–26)

Item Format I I I x

B x

O x

A M x C

N- ( )

L

S z

I :

–

–

– /



; , . R

, z. T .

3. Refer to the scoring guidelines. T C ( 68–69).S, ( 1–6), , , x , . S, ( 7), , , , ,

. T, C .

4. Understand the meaning of key terms. M C z. smallcaps G K 56. U - z

.

5. Start by preparing the Organizational Prole. T Oz P . T Oz P — z C -, , — z’ . T Oz P 4–6.T Oz P 34–35.

Guidelines for Responding to Process Items

A C z , diagnostic. F x,



’ z’, .

T z’ most important — z .D

. F , key . G z .

1. Understand the meaning of “how.” P “.” Responses should outline your key process informationthat addresses approach, deployment, learning, and integration(see Scoring System, page 66). R , x, “ .”

2. Understand the meaning of “what.”

“.” T . A who , who . T what , , , , . T x . Fx, , , ,

7 x .

3. Write and review responses with the following

guidelines and comments in mind. ■ S approaches .

S . I , , , , , .

■ S deployment .

D z z. D .

■ S learning .

P , .

P z .

■ S integration.

I z , , , , z .

■ S .

T : (1) Oz P z; (2 S P ( 2), , , , ; (3) z- ( 4.1) z z ; (4) O F ( 6)

. Showing focus and consistency in t

process items and tracking corresponding measures in theresults items should improve organizational performance

■ R .

M . A . I .

4. Cross-reference when appropriate. A , -. H, . I . I , . F x, 5.2. D 5.2 .

5. Use a compact format. A 50

. A , , “” . T 50- z .



Guidelines for Responding

to Results Items T C . T , , x .

1. Focus on the most critical organizational

performance results.

R z’ , Oz P L, SP, C F, W F, O F .

2. Note the meaning of the four key requirements

from the scoring guidelines for effective reporting

of results data: ■ performance levels

■ trends , , x

■ comparisons , z

■ integration (.., , , , - )

3. Include trend data covering actual periods for

tracking trends. N .H,

. . () . (). F , .

4. Use a compact format— graphs and tables. M . G .R

“z” (.., , ,

z ). F x, 100 z z.

5. Incorporate results into the body of the text. D B A . Trends that show a signi cant bene cial or adverse change should be explained. U . Fx, 7.1 7.1-3(S x 33.)

T 33 z 7.1, P P O. I Oz P, z Sx S . D .

T :

■ A x.

■ B x .

■ D — .

■ R .

■ A .



Product Line Croduct Line Broduct Line A

World-Class Level Overall Company Best Competitor

Figure 7.1-3 Defects per Million Opportunities

D e f e c t s p e r M i l l i o n O p p o r t u n i t i e s

3.4(6 )

50

45

40

35

30

25

20

15

10

5

0

Good

2006 2007 2008 2009 2010 2011 2012

■ A .

■ T z , , .

■ T z , 2011 P L B. T x x

P L A .

( 69),

:

■ T z x. T “-” .

■ T z .

Product Line C

Product Line B

Product Line A

World-Class Leve

Overall Company

Best Competitor

■ P L A — ( x 5 ) 2007. P L B . I P L A.

■ P L C— —

. (T z x .)

■ T z . P L C ; P L

A Sx S 2012.



caTegory anD iTem DescriPTions

Preface: Organizational Prole T Oz P z. T , z , x, . Y Oz P z. I B x . I z C 1–7.

T Oz P z x . T , , , , , , , z .

A , Oz P z x ; z ; , , z’ .

P.1 Organizational Description: What are your key organizational characteristics?

Purpose

T z . I

z’ . T x z C 1–7.

Comments

■ T “,” “,” “,”“,” “ ” z, z . N, z,

x, z . T

z.

■ A z’ z .



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■ T z z. U

.F, , , x, z.

■ L z - . I , , z. B .

■ I - z, . S- - -- , x, , , , z .

P.2 Organizational Situation: What is your organization’s strategic situation?

Purpose

T z , . I , z . T z .

Comments

■ K z’ , , z. W , , ,

, z; z; ; .

■ U , , . L z - , .

■ S , , z, , ,

■ O z ’ . T

(.., , , ); x ; z , ; ; ; ; . I , z , , .

■ A , z,

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Leadership (Category 1) L ’

z, z ,, x. A , , z , . T z’ z , , .

1.1 Senior Leadership: How do your senior leaders lead?

PurposeT x ’. I x z’ . I ’ , - z

, , .



Comments

■ S ’ , , , z . S ,, z .

I, , , .

■ I z, , z’ , z

. S . T z, , , . D

.

1.2 Governance and Societal Responsibilities:How do you govern and ulll your societal responsibilities?

Purpose

T x z’ , . I x z z

z .

Comments

■ T z , , , ( ) , , z.T , z CEO’ ’ .

■ A (1) , (2) , (3) . E . Y z , . R-z x x .

■ P z , , z’ .

■ T .C “”, z

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■ S . O - , , z z. T z z .

■ Y z’ . Ex z



; ; , , , , U.S. . Ex

z z .

Strategic Planning (Category 2) S P , , , , . T -z

z’ . D z z .

W z , x . T x , - . T , x .

T B C z

z x. T :

■ C- x x. T , , — , , z .

■ O - - / . B — , ,

x— z .

■ Oz ’ - .T C z . T z’ , z .

T S P x z

■ , , ; ; x

■ z , , - -

x, , ,

■ — : (1) z x , (2) , (3)

T S P . T

. T .

A . T , , . I , . H, , , .

2.1 Strategy Development:How do you develop

your strategy?

Purpose T x z , , . T , , .

Comments ■ T

, , z’ — - z . T x - - , , .



■ T ,- z, , , , .T x - , , z . E z ,

.

■ T z , .C z . H z’ ’ . H . A

z , .

■ A . T , .S , , . D z z, , , , ( , , ), z

, , .

2.2 Strategy Implementation:How do you implement your strategy?

Purpose T x z . I x z . T .

Comments ■ T

, , .T , , , . O — x, , , . A,

— . I , .

■ M , z x . F , ,

, .F , , (ROI), (ROIC).T z z. T z .

■ A .

■ Ex

• a redesign of your work organization and jobs to increas

• initiatives to promote greater labor-management,

• a consideration of the impacts of outsourcing on your

• initiatives to prepare for future

• initiatives to foster knowledge sharing andz

• the modication of your z , z, ,,

• education and training initiatives, such as developmenta , , z

■ P z’ , . P , , , , . T , z z



. S z’ , , .

Customer Focus (Category 3) C F z , , ,

, ’ . T x . Y . I , ’ - z .

3.1 Voice of the Customer: How do you obtain information from your customers?

Purpose T x z’ . I x

. T x ’ x.

Comments ■ S ---

z’ . I, z . S

, , / z , .

■ T z . I .

■ I , , ,

x . T . , z’ .



■ C . T - . A z. Oz .

■ K , , , , z , , - , , z .

■ I ’ , , , /z . S . T

- z .

3.2 Customer Engagement: How do you engage customers toserve their needs and build relationships?

Purpose T x z’ ; ; , , . T x

. T , - , , .

Comments ■ C

. A -

.

■ A . T , , . T .

■ C , ,

. S z.

Measurement, Analysis, and Knowledge

Management (Category 4) T M, A, K M C , z, z z . I , 4 “ ” z’ .C . F, , , , .

4.1 Measurement, Analysis, and Improvement of

Organizational Performance: How do you measure,analyze, and then improve organizational performance

Purpose T x z’ , , z . T . T , , , z’

z , x z x, .

Comments ■ A

. T x x. A z z-

A - z- .

■ T z. T (1) z , (2)



(“”) , (3) , (4) ’ z . C , , .

■ Y (1) , (2) — z’ , (3) (“”) z’ .

■ T z . T . I

z’ , , , . T, z z , ,, .

■ A z z, z , . Ex :

• how product improvements correlate with key custom, , ,

• cost and revenue implications of customer-related



• interpretation of market share changes in terms

• improvement trends in key , , , , ,

• relationships among personal learning, organizational

, • nancial benets derived from improvements in

, ,

• benets and costs associated with education and, -

• benets and costs associated with improved z

• the relationship between knowledge management

• how the ability to identify and meet , ,

• cost and revenue implications of workforce-related

• individual or aggregate measures of ’

• cost trends relative to ’

• relationships among product quality, , ,

, z,

• allocation of resources among alternative improvement /

• net earnings or savings derived from quality, operational,

• comparisons among business units showing how quality

• contributions of improvement activities to cash ow, ,

• prot impacts of

• cost and revenue implications of new market entry, x

• market share versus prots

• trends in economic, market, and stakeholder z

■ I z . T z z z . T .I , ,

x , .T .

■ A . P . Oz .

4.2 Management of Information, Knowledge, and Information Technology: How do you manage

your information, organizational knowledge, and information technology?

Purpose T x z , , , , , , , . I x z . T z .

Comments ■

M . T z’ — z , W , --, z-z, -- — z - .

■ D z , , .

Y z , .

■ T z’ ; , , ; z.

■ O z , , , -



z . L z , ,, , , z .

■ Oz , , - . T

z’ , ,, , , . T z’ ( 6.1).

Workforce Focus (Category 5) W F — -

z . T . Y

, , , (.., z’ ).

, C SP ( 2).

5.1 Workforce Environment: How do you build an efective and supportive workforce environment?

Purpose T x z’ , , z, . T .

Comments ■ A z, z,

;, - z

. T , , .

■ M z, z, . S x , , , , , , , - , ,

, x , , , x .

5.2 Workforce Engagement: How do you engage your workforce to achieve organizational and personal success?

Purpose T x z’ ,

. T , , z .

Comments ■ H- z x,

, , , z, , . T .

■ M , . R z ; z ; , , ,

. I z,

■ F z. U , , , x .

■ C . , . C ; x ,

z , .

■ D z’ , , z , . T , , , ; ; x ; ; ; ;



- . E , , , , , .

■ L z --,, -, , , , .

■ z , z

.■ A

, . I : , , , x x.

■ A z’

z - . Ez . T (.., ).

■ M , , z ; -; - .

■ A , . S x ; ; ; ; ; , , ; ;



; z .

■ I , , , , .

Operations Focus (Category 6) O F z . I x z ,, . I z z . I .

E ; ; , , , , ;

; ; ; , , , z .

W z . I , “” , x, . D z’ , , , z . A , ,

.C L . D Sx S . I z .

6.1 Work Systems: How do you design, manage and improve your work systems?

Purpose T x z’

, , ,

z , , , z .

Comments T z . I , z , , .

■ M z , , . O, I z’ z , , , ,

.

■ E z . T z’ ’ . F x, z .N z .

Y ( 4.2).

6.2 Work Processes: How do you design, manage, and improve your key work processes?

Purpose T x , , , , z .

Comments ■ Y -

z . T z’ , , . K , , , - , , , x, , . F z,

, , . G , .

■ Y . T . S ,



. S , , , , , .

■ Y — , ,

. Y . F ,- , , “”, , ,, , x , , . E . T (“”) ,

.

■ S - . T , , . T z x .

A x - . W , . D , / . P ( ) . S z z. W , . T . K z , -- , .

■ F z, - z . S,, z . S : , , z’ . S- ,

.

■ T . B ’ — — ’ . A

. Ex (1) z ,(2) z , (3) (.., , zx, ), (4) , (5) ,(6) , (7) — z. P z ., , (“”) .

Results (Category 7) T R ’ z’ , ; - ; ; , , ; .T , C’ —

; z , , , , , ; z —. C 7 “-” ( ) , z . I 4.1 z .

7.1 Product and Process Outcomes: What are your product perormance and process efectiveness results?

Purpose

T x z’ , . T x z’ 7.2–7.5, .



Comments

■ T ’ .T - 3.1 3.2.

■ P : ,

, , , , z , .

■ T :(1) ; (2) ; (3) - . T ,

, .

■ M / x ; , ,- , ; , , x, , - , ;

. M -, , Sx S , ; - , , , x, - ; - , ISO9001 .

■ T z .U - . A z , z’ , z.

■ B z , . F, - - .

7.2 Customer-Focused Outcomes: What are your custome focused performance results?

Purpose

T x z’ - ,

z - , .

Comments

■ T z’ . R

; , , ; , ,



; - ; ( ); ; ,, z.

■ T - ,

z .

7.3 Workforce-Focused Outcomes: What are your workforce-focused performance results?

Purpose

T x z’ - ,

z , , , .

Comments

■ R z- . G ,, , , (). F , , . Oz- . T x , , - ; x -; x - ; x .

■ R z . A z , .

■ R , z , . I ,

, , . Fx, z’ .

7.4 Leadership and Governance Outcomes: What are your senior leadership and governance results?

Purpose T x z’ , , z .

Comments ■ I

, , , z .G z .

■ R , , ; ; , . R

z - .

■ I z , , , z.

7.5 Financial and Market Outcomes: What are your nancial and marketplace perormance results?

Purpose T x z’

, .

Comments

■ M z’ .

■ I 7.5, 1, , , , , , , -- , , (,

), . M , , . F z, .



core Values anD concePTs

Criteria Purposes

T C z-, B A, . I , C U.S. :

■ z ,,

■ U.S. z

■ z

Criteria for Performance Excellence Goals

T C z z

■ - , z

■ z

■ z

Core Values and Concepts

T C

:

■

■ - x

■ z

■

■

■

■

■

■

■

■

T , , - z.T - .

Visionary Leadership

Y z’ , z x . T , x . Y

, x , z . T z’ . S , , , . S z’ . T , , z .

S , , , z , z . A , , , x , , z.



Organizational and Personal Learning

A z -x z . Oz x , . L z .

T (1) ; (2) , , z ;(3) (“ ”);(4) z; (5) , . S ’ ’ , (R&D), ’ , - , .

Oz (1) ; (2) ; (3)

; (4) , , , ; (5) ; (6) ; (7) z’ .

T . L’ , . I z , ’ ,

’. Oz , , . S . O-- - - z . E , -

W- .

P (1) , , z;(2) z - ; (3)

z’ ; (4) .

T, , , , — z x.

Valuing Workforce Members and Partners

A z’ ,

z , , , . A, z z , , , , .

V , , , -I, x, -

. M (1) ’ , (2) , (3) z, (4) z’ , (5) , (6) .

Oz x

. I - . P

, -, z - . I x,, .

Ex , , z. S x. S

. A, z’ . S z.

S x , . P , , , . I ,

- .

Agility

S ’ -, — x. Oz - / , z . M , ,



. A - .

A -- ( ) . , z -- ( )

z .

A , . O ; , z, , , - ,, .

Focus on the Future

E z’ - - z . T

- — , , , , ; ; .

Y z’ , ’ x, , , , , , , , , x , . S

. A ,

, ; ; ; .

Managing for Innovation I z’ , , , ,, z’ . I z . I . I ; . Oz . I . S z.

I z . T,

z z .

Management by Fact

Oz . S , , , . M

. P , , ; , , ; ,

, , , ; . D , x, , , .

A x , , , . A , , . A , , , , , ’ “-” .

A . Te measures or indicators

you select should best represent the factors that lead to improved customer, operational, nancial, and societal performance. Acomprehensive set of measures or indicators tied to customer and organizational performance requirements provides a clear basis foaligning all processes with your organization’s goals. M . T , .

Societal Responsibility A z’ , ,

- . L z , , . T ,,

z’ , A, z z . P , , ,, . E , , , , .

Oz , , ,



x “ .” Oz . H z’ .

“S - ” — z’ — , ,

z’ . S , ,

, x, , , , , . F - z, z, , .

M z

.



Focus on Results and Creating Value A z’ . R — , ,, , ; ; . B , z , , .

, z x . T . T - - , , .

Systems Perspective T B C z — x. T B

C , , . H,

z- ,, . S z , , , , . A B C , , , . I ,

.

T B C . A ’ . I , , . A , , , z . I .

T, z, , .



key characTerisTics of The criTeria

1. The Criteria focus on results. T C z .

Organizational performance areas: (1)

(2) -

(3) -

(4)

(5)

T — , , - - .

2. The Criteria are nonprescriptive and adaptable. T C - .H, C do not :

■ z

■ z , , ,

■ z

T z, .

T C :

(1) T , , , z . Oz , , x .N (“”) .

(2) T , , , z z z, z

, z’ , .

(3) A , , , , , , , .

3. The Criteria support a systems perspective to

maintaining organization-wide goal alignment. T ; Oz P; C; -, -, -

C .

A C z’ . T . T , , x M . S , ,

z .

A , , C . I C, - .

T ,

(1) , , , (approach)

(2) x (deployment )

(3) , (learning )

(4) ,z , (integration)

4. The Criteria support goal-based diagnosis. T C - () . T C 17 - . T

— — . A 17 - . I , x . T , , z



glossary of key Terms

T G K C . A , small caps C P Ex .

T

: T . S . A x, , C .

Action Plans

T “ ” - - . A z . A

, z- . I C, . D z .

A x . A - , z

. D

. Oz- z , , .

S “ ” 62.

Alignment

T “” , ,, , , , z- . E . I

, , , : z , , .

S “” 59.

Analysis T “” x . A - . Oz

.

D , .E .

Anecdotal T “” , , , , , . A x .

A x z’ . O ,

x z , , .

S “” 63.

Approach T “” z B C .

A z’

, .

A . F , 66–70.

Basic Requirements T “ ” C . B (.., 2.1). I C,

. T 29.

Benchmarks

T “” , z’ . Oz - () “” .



B . O z ( ), ’ , z .

Capability, Workforce S “ ” 64.

Capacity, Workforce S “ ” 64.

Collaborators T “” z z - ., .

S “” 60.

Core Competencies T “ ” z’ x. Y z’ . C , . A z

.

C x, , , (.., ).

Customer

T “” z’ , , ( “” C). C , . T , , z . T C , , .

C- x B - z.C z’ , , .

S “” 62 .

Customer Engagement T “ ” ’ . I

. C , ’ z,

.

Cycle Time

T “ ” . C

. “C ” . C , , , , .

Deployment T “” extent B C . D z.

D . F , 66–70.

Diversity T “” . T , , , , , x , , , , , , , .

T B C . Cz ;

, ; .

Effective T “” . D (1)

z’



(2) .

Empowerment T “” . E “,” - .

E , , z’ . A ; , z .

Engagement, Customer S “ ” 57.

Engagement, Workforce S “ ” 64.

Ethical Behavior T “ ” z , , z’ . T z’ . T “” “.”

S . T z, , . A B C z , z’

. E , , , , , , z’ .

W- . S z z/ .

Goals T “” . G - -. G .Q , “,”

. . T “ ” , () “” , z’ .

G ,

■

■

■ “---x” ()

■

S “ ” 61.

Governance

T “” x zI z’ /, , . C z , , z (1) / , (2) , (3) . G , CEO’ , x , , , , ,

. E ’ ’ z .

High-Performance Work

T “- ” - z , ,, , .H- .

A - , , . H-

. I ,

; , ; , - ; . I z ; z; x

; z, z



“ ”; , . M - z z , , . A,- z’ , , , , , .

How T “” z . I “” , ( ), , , .

Indicators

S “ ” 60.

InnovationT “” , , z . I , , , , .T , , .

S z , , , , .

A , z , . I z z’ .

Integration

T “” z ,, , , , , z- . E .

S “” 56.

I . F , 66–70.

Key

T “” , . T B C, x, , , , z’ T .

Knowledge Assets

T “ ” z. I z , , , , , , . Y , , , , , , z’ . K z ,, , .

K “-” z , , . B z .

Leadership System

T “ ” x, , z; ,, . I ; - ; ; , , , x.

A , x . I z’ . I , z , . A -x, , .

Learning

T “” , , x, . TB C : z . Oz , , ,



- , . P , , .

, z . L z . F z , 51.

L . F , 66–70.

Levels T “” z’ . P , , , .

Measures and IndicatorsT “ ” , , , , , , , z (). M ( ) .

T C . H, “” (1) (..,

) (2) (“ ”) (.., ).

Mission T “” z. T , “W z ?” T , , .

Multiple Requirements T “ ” C . T ’. T x ’ () . T 29.

E -, - C

.

Overall Requirements T “ ” C . O . I C, . T 29.

Partners

T “” z z . , , .

F x .

S “” 57.

Performance

T “” , , z , , , , z. P x .

T B C :(1) , (2) -, (3) , (4) .

“P ” . Ex , - , -x , . F z, “ ” x , - , .

“C- ” ’ , , . Ex

, . “O ” , ,z, , , .Ex , , ,

, - , , , , . O , , z .



“F ” , , , z, , . Ex , , -- , , , , ,-- , , .

Performance Excellence

T “ x” z (1) - , z ;(2) z ; (3) z . TB C P Ex

z .

Performance Projections

T “ ” . P , , ,

x . T .

P x . G

. P z z . W , .

S “” 58.

Process

T “” ( ) ()

z. G, , , , ,, . P . I , , ( ) , - .

I , , (.., ,

x ). I , . S .

I , , ,, ,

. R, , , , , .S .

I B , . T z’ :, , , . F , 66–70.

Productivity

T “” .

A , ( ), , , , , . T

— -— .

Projections, Performance

S “ ” .

Purpose T “” z x. T z . P . z , z .

Results T “”

z B C . R ; ; , , ; z . F , 66–70.

Segment

T “” z’ , , ,



S . I , z’ . I z , , , .

U x , ,

x. A x, , ,, . W , , , , .

Senior Leaders

T “ ” z’ . I z, z .

Stakeholders T “” z’ . Ex , ,, , , , ,, x, , , , .

S “” 57.

Strategic Advantages T “ ” x z’ . T z’ . S :(1) , x z’ , (2) x , x .

W z z ,

z z.

S “ ” “” , , z .

Strategic Challenges T “ ” x z’ . T

z’ . W x , x . H, x , z .

Ex x; ; , , . I

z’ .

S “ ” “” , , z .

Strategic Objectives T “ ” z’ , , . S x ,, , ( ). B , z - . S z’ - .

S “ ” 56 x .

Sustainability/Sustainable T “” z’ , , . B x . T z- .

S , , , , , , , .

S , , . I, -- - - .

I x B C, z’ - , z’ . W z .



Systematic

T “” -, , . I , , , , . F , 68.

Trends

T “” z’ . z .

A ( ) . M . T . S , .

Ex C , , , , , .

Value

T “” ,, , .

Oz , . Oz . T , .

Values

T “” z x . V z. V , z . Ex , x x, , , x .

Vision T “” z. T z , , .

Voice of the Customer

T “ ” - . V--- , , , x, . T . L , , , , , ’ .

Work Processes T “ ” . T , , , , . T z’ , , .

Y , , .

Work Systems T “ ” z . W

, , , . Y x , , .

D . T z

z .

Workforce T “” z, (.., , -, , , z) , . T

, , .



Workforce Capability

T “ ” z’ , , , .

C ; ;

; , , .

Workforce Capacity T “ ” z’

, .

Workforce Engagement T “ ” x

, , , , z. Oz z - z.

I , . A , , , , .K , , , -.



Steps Toward Mature ProcessesAn Aid for Assessing and Scoring Process Items

(1) Reacting to Problems (0–25%)

O z , . G .

(2) Early Systematic Approaches (30–45%

Strategic

and OperationalGoals

Strategic and

OperationalGoals

T z , , z . S .

(3) Aligned Approaches (50–65%)

Strategicand Operational

Goals

Strategicand Operational

Goals

O z , z. P z.

(4) Integrated Approaches (70–100%)

O z .E , , . P .



scoring sysTem

T C B A :(1) (2) . C . S . S 68–69.

Process

“P” z 1–6.T , , , (ADLI).

“A”

■

■ z’

■ ■

(.., )

“D” extent

■ z

■

■ (x)

“L”

■

■

■ z

“I” extent

■ z Oz P

■ , ,

■ , , , , , z z-

Results “R” z’ outputs outcomes 7.1–7.5 ( 7).T , ,, (LCI).

“L” ■

“”

■ (.., )

■ (.., x )

“C”

■ , z

■

“I” extent

■ ( ) , , , , Oz P

■

■ z z-

Item Classication and Scoring Dimensions

I x .

T

1.

2.

Process

Results

I , , , , z — specic requirements z. A , ( ),

, . A ADLI , B A .



R , , z , z . R . T z ; , . A

, (LCI).

“Importance” as a Scoring Consideration T . A importance . T OzP 2.1, 2.2, 3.2, 5.1, 5.2, 6.1.

Y , , , ,

.

Assignment of Scores to Your Responses T .

■ A . A, z.

■ I ,

(.., 50 65 ) z’ . “M z’ ” ADLI () or LCI () . A z’ . A within

x x .



■ A 50 ,

, , z . H , ,

z , .

■ A 50 , , important z-

Process scoring guidelines

SCORE PROCESS (for use with categories 1–6)

0% or 5% ■ N systematic approach ; anecdotal. (A)■ L deployment systematic approach . (D)■ A ; . (L)■ N z alignment ; . (I)

10%, 15%,

20%, or 25%

■ T systematic approach basic requirements . (A)■ T approach deployment ,

basic requirements . (D)■ E

. (L)■ T approach aligned . (I)

30%, 35%,

40%, or 45%

■ A effective, systematic approach, basic requirements , . (A)■ T approach deployed, deployment. (D)■ T systematic approach key processes

. (L)■ T approach alignment z

Oz P . (I)

50%, 55%,

60%, or 65%

■ A effective, systematic approach, overall requirements , . (A)

■ T approach deployed, deployment . (D)■ A -, systematic process z learning,

innovation, effectiveness key processes. (L)

■ T approach aligned z Oz P . (I)

70%, 75%,

80%, or 85%

■ A effective, systematic approach, multiple requirements , . (A)

■ T approach deployed, . (D)■ F-, systematic z learning,

innovation, key ; z- analysis . (L)

■ T approach integrated z Oz P . (I)

90%, 95%,

or 100%

■ A effective, systematic approach, multiple requirements , . (A)

■ T approach deployed . (D)■ F-, systematic z learning innovation

key z- ; innovation, analysis , z. (L)

■ T approach integrated z Oz P . (I)



’ . H , , .

B A , . T

C , : . T z’ . T B W

results scoringguidelines

SCORE RESULTS (for use with category 7)

0% or 5% ■ T z performance results / results . (L)■ rend trends. ()■ C . (C)■ Results z’

mission. (I)

10%, 15%,

20%, or 25%

■ A z performance results , basic requirements , performance levels . (L)

■ S trend , trends . ()■ L . (C)■ Results z’

mission. (I)

30%, 35%,

40%, or 45%

■ G z performance levels , basic requirements . (L)

■ S trend , trends . ()■ E . (C)■ Results z’

mission. (I)

50%, 55%,

60%, or 65%

■ G z performance levels , overall requirements

. (L)■ B trends z’

mission. ()■ S performance levels /

benchmarks performance. (C)■ Oz performance results key customer, , process

. (I)

70%, 75%,

80%, or 85%

■ G x z performance levels , multiplerequirements . (L)

■ B trends z’ mission. ()

■ M trends performance levels

/ benchmarks performance. (C)■ Oz performance results key customer, , process,

action plan . (I)

90%, 95%,

or 100%

■ Ex z performance levels multiplerequirements . (L)

■ B trends z’ mission. ()

■ E benchmark . (C)■ Oz performance results projections key customer, ,

process, action plan . (I)



L -

z , , x. I C z’ ( 66 68, ).

E, - z z (0–5% ) z- , , (70–100%). T .

L -

z , , x. I C z’ ( 66 68, ).

E, - z z (0–5% ) z- , , (70–100%). T .



aPPlying for The malcolm BalDrige naTional QualiTy awarD

T M B N Q A x U.S. z . T

■ x

■

Oz x :

■

■

■

■

■

■

U 18 x . W , Baldrige Award Application Forms . Y , M W , ://..///_..

Application Process

A - :

■ Submit an eligibility certication package. I , z .

■ Submit an award application package. I , ( CD

) C PEx ( 4–26).

Y C z (, , ) . I

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Eligibility certication packages

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Award application packages

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see pages 74–75 or http://www.nist.gov/baldrige/publications.



summary of eligiBiliTy reQuiremenTs

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how To oBTain BalDrige Performance excellence Program maTerials

Note: If you are planning to apply for the award,

you will need the Baldrige Award Application

Forms in addition to the Criteria booklet. Criteria for Performance Excellence and

Award Application Forms Individual Copies

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A S Q (ASQ). (S “O ASQ” 75.)

2011–2012 Criteria for Performance Excellence ( B/N C)—IN 1535

2011–2012 Education Criteria for Performance Excellence —I N 1534

2011–2012 Health Care Criteria for Performance Excellence —I N 1536

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2010 Nonprofit Case Study Packet: NuGrain Laboratories ( 2009–2010 Criteria for Performance Excellence )

2009 Education Case Study Packet: Nightingale

College of Nursing ( 2009–2010 EducationCriteria for Performance Excellence )

2008 Manufacturing Case Study Packet: Novel Connect ( 2008 Criteria for Performance Excellence )

2007 Nonprofit Case Study Packet: Share Food ( 2007 Criteria for Performance Excellence )

2006 Health Care Case Study Packet: Arroyo

Fresco Community Health Center ( 2006 Health Care Criteria for Performance Excellence )

2005 Business Case Study Packet: Landmark

Dining, Inc. ( 2005 Criteria for Performance Excellence )

2004 Education Case Study Packet: Sandy Hill

School District ( 2004 Education Criteria foPerformance Excellence )

2003 Business Case Study Packet: GeoOrb

Polymers, North America ( 2003 Criteria for Performance Excellence )

2002 Health Care Case Study Packet: CapStar Health System ( 2002 Health Care Criteria

for Performance Excellence )

2001 Business Case Study Packet: TriView National Bank ( 2001 Criteria for Performance Excellence )



Ordering from ASQ ASQ :

■ F , - (800) 248-1946 U S C ( Mx, -95-800-248-1946). H , , ( ) ASQ .

■ Fx ASQ (414) 272-1734.

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inDex of key Terms

Note: Page number references to “C2” and “C3” refer to the inside front cover and inside back cover, respectively.

A , 61, 67

, 7 , 10 –12 , 16 –19 , 23– 24 , 28, 31, 38 , 43, 54 , 56 , 58 , 62 , 67, 69

, 13, 39

, 7 , 11, 16, 22 , 27–28, 36 , 45 ,

49 –51, 55 , 62

, 11, 16 , 18 , 31, 37 – 38 , 40 ,

42 –44 , 46 , 54 –56 , 59 , 65–66, 68

A S Q (ASQ),

C2, 74–75

, 1, 3, 12–13, 16–17, 23, 28, 31,

38–44, 46, 52, 56, 61–62, 65, 68

, 31, 56 , 68

, 6, 8–10, 22, 25–27, 30–31, 34, 37–38, 43, 45, 49–51, 55–59,

61, 63, 65–66, 68 ; see also

(), 1, 27, 29 , 31, 67

, 3–4 , 6 , 9, 17, 19 , 27, 29 – 30 ,

40 , 47 –48 , 55 , 61, 72, C3

, 71–73

, C2, 2, 72, 74, C3

B ; see

(), 11, 13, 16, 35, 40, 46,

51–52, 56–57, 60, 66, 69

, 16 –17 , 37 , 40 , 49 , 51–52,

56, 60

B Ex, C2, 71, 74, C3

B O, C2

, 71, 73

C ; see ; see

– , 71, 73,

C3

– C , 1, 3, 5, 28, 30,

32, 34, 50, 54, 66, 68–69, 71, 73

, 18, 52

, 4 –5 , 16 –17 , 21, 41–43,

45 –46 , 57 , 60 , 62 –63

– , 18, 57

– , 5 , 43, 53

, 6 , 16 , 23– 26 , 30 ,

40 –41, 57 , 69

, 8,

19–20, 27, 38 , 43

, 5 –6 , 10 –11, 13–14 , 16 ,

23– 24 , 31, 33, 35 , 38 –42 , 50 , 52 , 57 ,

61, 63, 66

, 13–14 , 40, 47–48 , 50, 60, 63

– , 8–9, 25, 48 – , 8–9, 25, 48 , 60

, 17 , 72

, 9, 71

, 16 , 20 , 45 , 51

, 4 –5 , 8 , 10 , 12 ,

18 –19 , 21, 23, 31, 34 – 38 , 41, 43,

45 –46 , 51, 54 , 57 , 59 –60 , 62 , 63

, 49–51, 54–55

C P Ex, 1,

3–4 , 27, 29 , 49 , 56 , 61, 71, 73–75,

C3

C R G, 29

, 45

“,” 57

– - x, 37 ,

49 –50 , 57

– , 3, 7 , 11, 13–14 , 24 ,

36 – 37 , 39 –40 , 43, 48 , 50 , 57 –58 ,

63

– , 13, 24, 27, 39, 63; see also

– , 15, 27, 39–42, 50, 54, 57

– , 15 , 47, 50 , 57 , 60 – , 13–14 , 22 , 24 , 26 , 39 ,

41, 46 –47 , 60

– , 4 , 6 , 13–15 , 22 , 28, 40 ,

51, 63

, 8 , 22 – 23, 42 –43, 45 –46 , 48 ,

51–52 , 57 –58 , 60 –61, 63

D , 6 , 9 , 11–12 , 30 – 32 , 40 ,

55 –57 , 59 , 61, 66 –68 , 42 , 44 , 51

, 5 , 10 , 57

, 4 , 11, 24 , 55 , 57 , 63

E-, 42

E C P

Ex, 71, 73–74

“,” 57

, 71, 73

; see also – , 18, 63

, 36 , 38 , 58 , 64

; see

( ), 7 –9 , 19 , 25 ,

35 – 36 , 48 –49 , 52 –53, 55, 58 –59

x; see x

F , C2, 1, 9 , 13–14 , 31, 39 , 49 ,

55 , 59 , 66 –67 , 69 , 72 –74

, 71–72 , 26, 42, 46, 48,

52, 60–61, 63

, 8 , 25 , 48 , 60

, 49,

54

, 49 , 52

F M B

N Q A, C2, C3

G , 4, 11, 31, 67–68

, 6 , 8 , 10 –11, 18 , 23, 31, 33, 39 ,

41, 46 , 51–52 , 55 –61, 65 –66 ; see

also

, 1, 3–5 , 7 –9 , 23, 25 , 34 – 36

46 , 48 –49 , 52 –53, 55 , 58



HH C C P

Ex, 71, 73–74

, 7 , 18 –19 , 33, 35 – 36 ,

43–44 , 57

- , 19 – 20 , 43–44 ,

51, 58 –59

“,” 31, 59

, 6 , 11, 24 , 38 , 43,

46 ; see also

I

– “,” 31, 33, 41, 55–56,

58–60, 66

– , 16 , 20 , 45 , 51

– (), 33,

56, 58–59

; see “ ” , 44

, C2, 6 –7 , 10 –11, 13–14 ,

16 –17 , 19 , 23, 31, 35 – 38 , 40 –43,

45 –47 , 49 , 51–52 , 55 , 58 –59 , 61,

65 –66 , 68 , 70 ; see also

, 6 , 30 – 32 , 39 –40 , 52 ,

54 –56 , 59 , 61, 66 –69

, 7 , 10 , 38 , 51–52

ISO, 6, 11, 22, 47

; see

, 1, 3, 5 , 7 –8 , 11–12 , 17 , 20 , 23, 29 – 34 , 46 –47 , 55 –57 , 59 –60 , 62 –63,

66 –69 , 74 –75

K “,” 59

, [4, 6], 9–10, 18, 36–37, 46,

55, 63–64, 67

, 16–17, 42–43, 51, 59

, 1, 3, 12,

16 –17 , 28, 40, 42, 44–45

L

– , 38

– , 49

, 7 –8 , 46 , 59

L E S, 6 , 22, 45

“,” 59–60, 66

– z

; see z

“,” 60, 66

, 1, 5 , 12 , 29 , 45–46, 54 –56

, 39 ; see also

M M B N Q

A, C2, ii , 2 , 71–72, C3

, 49

, 49, 52

(z ), 6 , 9 ,

30 – 31, 38 , 51, 55 , 59, 63, 69 –70

, C2, 1, 3, 11–12 , 16 –17 ,

28, 32 , 40 , 46 , 52 , 60 –61, 63

“ ,” 60

, 20 , 36 , 44

, 4 –7 , 9 , 18 , 20 , 30 , 34 , 45 ,

57 –60 , 63–64 , 69

; see

NN I S

, C2, 74 –75

, 71, 73, C3

O

(OFI),

19–20 , 35 , 55 , 61, 66 , 72 ; see

also

z

– , 37, 46 , 49 ,

51, 60 –61

– , 4 , 7, 14, 19 , 27, 36, 40, 48,

50, 58, 63

– , 10 , 17 , 22 – 23, 40 ,

42 –43, 54

Oz P, 1, 3–6 , 9 –10 , 14 ,

22 – 23, 30 – 32 , 34 , 55 , 66 –68 ; see

P, 4 –5 , 7 –8 , 10 –11, 16 –17 ,

21, 38 , 41–43, 45 –46 , 49 , 51–52 ,

54 , 57 –60 , 62 –63; see also

“,” 60 ; see also

– -, 23, 47, 60

– x, C2, 39 , 49 , 54 , 61, 63

70 –71

– , 26 ,

48, 60–61, 63; see also

– , 1, 9 , 19 , 30 – 31, 36

49 , 52 , 54 , 56 , 59 , 61– , 23, 37, 42 , 45 –47 ,

52, 60, 63; see also ,

– , 23, 46 –47 , 60 , 63

– , 11, 41–42 , 58 , 60 –6

– , 19 , 42

“,” 61, 66

– , 39 , 45

– , 21– 22 , 45 , 63

– , 22, 28, 45 –– , 22, 2

45

– , 3, 16 , 18 , 21– 22

31, 37 – 38 , 45 , 52 , 56 –59 , 63–64

, 7 , 19 , 21– 23, 37 , 40 , 42

46 –47 , 51–52 , 56 , 58 , 60 –61, 63

, 10 –11, 17 , 28, 38 ,

41–42 , 52 , 58 , 60 –61, 69 ; see

also

, C2

P L 100-107, C3

“,” 61

Q , 58, 65

Q Ex C, C2,

73, C3

R , 35 , 56

, 4 , 10 , 35 , 62

– , 56 , 68 –69

– , 5 , 9 , 29 – 31, 56 , 59 –60 , 66

68–69

– , 29 , 60 , 68 –69

– , 60 , 68 –69

, 10–11, 37, 52, 62

, 8–9, 25, 36,

52 –53



“,” 61, 66 ; see also

and

– , 19 , 56 –57

– -, 24 , 46 , 48

– , 26, 48

– , 25, 48

– , 23, 46–47

– , 23, 46–47

– -, 20 , 24, 48 , 21

, 7 –8 , 10 –11, 25 , 37 – 38 , 52 , 62

- z, 10, 36, 53

S

– , 4, 9, 19, 24–25, 42 –43,

48

– , 18, 44

, 48

, 5 , 29 – 33, 54 –56 , 63,

68 –70

, 67 , 69

, 3, 6 , 9 , 29 , 31, 56 –57 ,

59 –61, 66, 70

, 5 , 10, 13–14, 18–19, 26 , 40 ,

61–62, 66

, 4 , 7 –9 , 12 , 19 , 25 , 34 – 36 ,

40 , 45 , 48 –49 , 54 , 56 , 58 , 62 –63

Sx S, 6 , 8 , 22 , 32 – 33, 45 , 47

, 13, 35 , 40 , 42

, 3, 6 , 11, 25 , 35,46 , 49, 53

, 4 , 7 –8 , 10 –11, 22, 25–27,

36 , 43, 45 –46 , 49 , 52 , 54 –55 , 57 –59 ,

61–63

, 6, 10 , 27, 35, 37 ,

62

, 1, 6 , 10 , 18 –19 ,

34 – 35 , 37 , 62

, 7 –8 , 10 –12 , 16 –18 ,

23, 31, 37 – 38 , 40 , 43, 45 , 47 , 51, 54 ,

56 , 58 , 62 , 67

, 10 –11, 35 , 37 – 38 , 51, 55 ,

61, 66 , 72 ; see also

(OFI)

, 39 , 41, 58

, 7 , 19 , 36 , 52 , 58

, 4 –5 , 7 –8 , 10 –11, 16 –17 ,

21– 22 , 35 , 38 , 41–43, 45 –46 , 51–52 ,

54 , 57 –59 , 62 , 63

- , 8, 22, 27–28,

45–47, 63

, 10 , 21– 22 , 26 , 34 – 37 ,

39 –40 , 42 –43, 45 , 48 –52 , 60 –62 , 66

, 7 , 35 , 57 , 62–63

, 14 , 31, 44 , 51, 56 , 63, 66 ,

68

, 31, 65, 68 ; see also

, 27, 49 , 54 , 55

T, 3, 5 –6 , 9 –10 , 12 , 16 –17 ,

21– 22 , 35 , 37 , 42 –43, 45 –46 , 57 , 59 ,

62

, 32 , 66 , 69

“,” 63, 66

V , 6 –7 , 12 , 15 , 21– 22 , 29 – 30 , 36 ,

42 , 45 –46 , 48 –52 , 54 –55 , 57 , 59 –61,

63

, 42 , 61

, 12 , 22 , 45 , 63; see

also

, 1, 4 , 7 , 25 , 34 – 36 , 43, 49 ,

54 –55 , 58 –59 , 61, 63

, 49, 51

, 4 , 7 , 20 , 25 , 34 – 35 , 58 –59 ,

63–64

; see

, 3, 13, 28, 39 , 50

63

W , 42 , 52 , 60

“,” 31

“,” 18 , 63; see

– , 11–12 , 18 , 24 , 38 ,

42 –43, 57 , 62 , 64

– , 11–12, 18–19, 24, 28, 38,

42–43, 48 , 57 , 64

– , 3, 19 , 24 , 27–28,

43–45 , 48 , 57 –58 , 64

– , 11, 24 , 38

– , 26, 42, 45, 48, 60

“ ,” 63

, 3, 7 , 12 , 18 , 21– 23, 31,

37 – 38 , 43, 45 , 51–52 , 54 , 56 –57 ,

62 –63



noTes



The Baldrige PerforMaNce excelleNce PrograM aNd iTs iMPacTs

Te Malcolm Baldrige National Quality Award was created by Public Law 100-107 and signed into law on August 20, 1987. Public Law 100-107 led to the creation of a new public-private partnership. Principal support for the program comes from the Foundation for th Malcolm Baldrige National Quality Award, established in 1988.

Te award is named for Malcolm Baldrige, who served as secretary of commerce from 1981 until his death in 1987. His managerial excellence contributed to long-term improvement in the eciency and efectiveness of government.

In 2010, as a result of a branding study, the program’s name was changed to the Baldrige Performance Excellence Program.

On August 20, 1987, President Ronald W. Reagan signed the“Malcolm Baldrige National Quality Improvement Act o 1987,”establishing a program that many credit with making quality a national priority and helping to revitalize the U.S. economy during the 1990s. oday, the Baldrige Perormance ExcellenceProgram and the Baldrige Award recipients are imitated andadmired worldwide. More than 30 states and many countries,including Japan, have programs modeled ater Baldrige. Inparticular, the Baldrige Criteria or Perormance Excellence are

widely used as an assessment and improvement tool. Millions o

print and electronic copies o the Criteria have been distributed.

In 1999, categories or education and health care were added tothe original three categories: manuacturing, service, and smallbusiness. In 2007, a nonproft category was added.

Impacts o the program have been arreaching:

• SincetheBaldrigeProgram’sinceptionin1987,therehave been nearly 1,500 applicants or the Malcolm BaldrigeNational Quality Award. Tese applicants have received vigor-ous evaluations by the Board o Examiners, using the Criteriaor Perormance Excellence.

• Trough2009,84awardrecipientshavebeenselectedacrsix categories: 28 manuacturing companies, 15 service comnies, 19 small businesses, 8 education organizations, 11 hecare organizations, and 3 nonproft organizations.

• Terearemorethan35activestateandlocal,regional, and sectorspecifc quality award programs based in statesthroughout the country. All o these programs are modeledto some degree ater the Baldrige Perormance ExcellenceProgram, and their award criteria are based on the Criteria

Perormance Excellence.• From1996to2009,45ofthe60BaldrigeAwardrecipien

were previous winners in state award programs.

• Since1991,therehavebeennearly11,800applicationsfostate and local quality awards.

• Since1988,theBaldrigeProgramhastrainedabout8,800examiners. Since 1991, the state and local programs havetrained more than 39,000 examiners.

• TeQuestforExcellenceconferenceshavereached approximately 21,300 attendees over the Baldrige Programhistory.

The Baldrige Program thanks the following 2008 and 2009 award recipients for the use of the photographs in

this booklet: Cargill Corn Milling (2008, manufacturing); Honeywell Federal Manufacturing & Technologies, LLC (2009, manufacturing); MidwayUSA (2009, small business); and the VA Cooperative Studies Program Clinical Research Pharmacy Coordinating Center (2009, nonproft).

Cover art © Havlin Levente/Shutterstock



Baldrige Performance Excellence ProgramNational Institute of Standards and TechnologyUnited States Department of CommerceAdministration Building, Room A600100 Bureau Drive, Stop 1020Gaithersburg, MD 20899-1020

Telephone: (301) 975-2036 • Fax: (301) 948-3716 E-Mail: [email protected] • Web Site: http://www.nist.gov/baldrige The National Institute of Standards and Technology (NIST), an agency of the U.S. Department of Commerce, managesthe Baldrige Performance Excellence Program. NIST has a 100-plus-year track record of serving U.S. industry, science,

and the public with a mission and approach unlike any other agency of government. That mission is to promote U.S.innovation and industrial competitiveness by advancing measurement science, standards, and technology in ways thatenhance economic security and improve our quality of life. NIST carries out its mission in four cooperative programs,including the Baldrige Performance Excellence Program. The other three are the NIST laboratories, conducting researchthat advances the nation’s technology infrastructure and is needed by U.S. industry to continually improve products andservices; the Hollings Manufacturing Extension Partnership, a nationwide network of local centers offering technicaland business assistance to smaller manufacturers; and the Technology Innovation Program, which provides cost-sharedawards to industry, universities, and consortia for research on potentially revolutionary technologies that address criticalnational and societal needs.

Call the Baldrige Program or visit our Web site for • tools to help you improve the performance of your organization • information on applying for the Baldrige Award • information on becoming a Baldrige examiner • profiles of Baldrige Award recipients • individual copies of the Criteria for Performance Excellence—Business/Nonprofit, Education, and Health Care • case studies and other Baldrige educational materials

American Society for Quality600 North Plankinton Avenue Milwaukee, WI 53203 Telephone: (800) 248-1946 • Fax: (414) 272-1734 E-Mail: [email protected] • Web Site: http://www.asq.org By making quality a global priority, an organizational imperative, and a personal ethic, the American Society for Quality(ASQ) becomes the community for all who seek quality technology, concepts, or tools to improve themselves and theirworld. ASQ administers the Malcolm Baldrige National Quality Award under contract to NIST.

Contact ASQ to order• bulk copies of the Criteria • award recipients DVDs

T1535

2011 2012 Business Nonprofit Criteria

Documents

Transcript of 2011 2012 Business Nonprofit Criteria