Baldrige National Quality Program

1. BaldrigeNational Quality Program

2. Is Your Organization Ready? It is never too early to begin using the Baldrige Criteria for Performance Excellence. You do not have to wait until you are ready to apply for the Baldrige Award. Your organization may use the Criteria in the early stages of your journey toward performance excellence. In fact, most organizations begin by using the Criteria as a source of information on managing for excellence, building a common language, and facilitating communication about performance excellence within their organizations. Some draw on the Criteria to guide the development of processes focused on performance excellence. Others use the Criteria for self-assessment and action. This presentation will help you get started by introducing several tools and approaches to self-assessment with the Baldrige Criteria, as well as some resources available to assist you.You do not have to wait until you are ready to apply for the Baldrige Award. Your organization may use the Criteria in the early stages of your journey toward performance excellence. In fact, most organizations begin by using the Criteria as a source of information on managing for excellence, building a common language, and facilitating communication about performance excellence within their organizations. Some draw on the Criteria to guide the development of processes focused on performance excellence. Others use the Criteria for self-assessment and action. This presentation will help you get started by introducing several tools and approaches to self-assessment with the Baldrige Criteria, as well as some resources available to assist you.

3. Presentation Overview What is a Baldrige self-assessment? Why self-assess? What are some tools and approaches for self-assessment? What resources are available? Today�s presentation will Explain what a Baldrige self-assessment is and what it entails Provide some reasons for and benefits of self-assessment Outline four tools and approaches to self-assessment with the Baldrige Criteria Describe the resources that are available to assist you Today�s presentation will Explain what a Baldrige self-assessment is and what it entails Provide some reasons for and benefits of self-assessment Outline four tools and approaches to self-assessment with the Baldrige Criteria Describe the resources that are available to assist you

4. Getting Started Self-Assessment . . . What is it? The first step toward achieving organizational improvement and performance excellence A �results-oriented� review Adaptable to the needs of each organization Whether your organization is involved in manufacturing, service, education, health care, government, or nonprofit activities�whether your organization is large or small�a self-assessment using the Baldrige Criteria is the first step on your improvement journey. The Baldrige Criteria provide the framework to evaluate how well your organization is doing in meeting its goals and objectives. Use the Criteria to examine both your processes and their impact on results. The activity is flexible�tailor it to fit your particular needs. Organizations can engage all workforce members in the process select participants from a cross section of functions and levels�or appoint a small group to represent all colleagues use the Are We Making Progress? questionnaire use only the Organizational Profile in the Criteria booklet for a first self-assessment focus on a single Category at a time look at all seven Categories simultaneously benchmark other organizations in key areas to identify best practices Whether your organization is involved in manufacturing, service, education, health care, government, or nonprofit activities�whether your organization is large or small�a self-assessment using the Baldrige Criteria is the first step on your improvement journey. The Baldrige Criteria provide the framework to evaluate how well your organization is doing in meeting its goals and objectives. Use the Criteria to examine both your processes and their impact on results. The activity is flexible�tailor it to fit your particular needs. Organizations can engage all workforce members in the process select participants from a cross section of functions and levels�or appoint a small group to represent all colleagues use the Are We Making Progress? questionnaire use only the Organizational Profile in the Criteria booklet for a first self-assessment focus on a single Category at a time look at all seven Categories simultaneously benchmark other organizations in key areas to identify best practices

5. Why Self-Assess? Address a customer-/competitor- or budget- driven need to change Keep pace with changes in industry Maintain a leadership position Enhance organizational learning Align actions with organization�s values Create a sustainable organization Improve performance These are just a few of the reasons organizations cite for undertaking a Baldrige self-assessment: Customers and/or competitors are driving a need to change. Your industry or environment is changing. Your organization is among the best, and you want to make sure it stays that way. Business is good, and you want to keep it that way. You may want to enhance organizational learning. Your organization�s values are aligned with the Core Values and Concepts of the Criteria. You see a clear connection between your key issues and the systematic approach embodied in the Criteria for improving organizational performance practices. These are just a few of the reasons organizations cite for undertaking a Baldrige self-assessment: Customers and/or competitors are driving a need to change. Your industry or environment is changing. Your organization is among the best, and you want to make sure it stays that way. Business is good, and you want to keep it that way. You may want to enhance organizational learning. Your organization�s values are aligned with the Core Values and Concepts of the Criteria. You see a clear connection between your key issues and the systematic approach embodied in the Criteria for improving organizational performance practices.

6. Benefits of Self-Assessment Identify successes and opportunities for improvement Jump-start a change initiative Energize improvement initiatives Energize the workforce Focus your organization on common goals Assess performance against the competition Align your resources with your strategic objectives You can capitalize on one or more of these benefits when your organization conducts a self-assessment and implements action plans for improvement.You can capitalize on one or more of these benefits when your organization conducts a self-assessment and implements action plans for improvement.

7. Four Tools and Approaches Use Are We Making Progress? and Are We Making Progress as Leaders? Take the Easy Insight assessment Complete the Organizational Profile Answer the 18 Criteria Item title questions Conduct a full self-assessment Today I�ll describe four tools and approaches that you can use to introduce the Baldrige Criteria to your organization and to begin a self-assessment. Your organization�s experience with and prior use of the Baldrige Criteria will help you decide where to begin. Are We Making Progress? and Are We Making Progress as Leaders? are two questionnaires that will introduce the seven Criteria Categories to your organization and will help you quickly identify your strengths and opportunities for improvement. 2. Easy Insight: Take a First Step Toward a Baldrige Self-Assessment (formerly e-Baldrige) is an online assessment tool that will help you identify gaps in your understanding of your organization and that will allow you to compare your organization to others. 3. Completing the Organizational Profile is the first step in undertaking a full self-assessment using the Baldrige Criteria. 4. Answering the 18 Criteria Item title questions will help you understand the full dimensions of the Criteria and your organization. 5. Finally, you can conduct a full self-assessment using the seven Categories of the Baldrige Criteria. Today I�ll describe four tools and approaches that you can use to introduce the Baldrige Criteria to your organization and to begin a self-assessment. Your organization�s experience with and prior use of the Baldrige Criteria will help you decide where to begin. Are We Making Progress? and Are We Making Progress as Leaders? are two questionnaires that will introduce the seven Criteria Categories to your organization and will help you quickly identify your strengths and opportunities for improvement. 2. Easy Insight: Take a First Step Toward a Baldrige Self-Assessment (formerly e-Baldrige) is an online assessment tool that will help you identify gaps in your understanding of your organization and that will allow you to compare your organization to others. 3. Completing the Organizational Profile is the first step in undertaking a full self-assessment using the Baldrige Criteria. 4. Answering the 18 Criteria Item title questions will help you understand the full dimensions of the Criteria and your organization. 5. Finally, you can conduct a full self-assessment using the seven Categories of the Baldrige Criteria.

8. Are We Making Progress? Questionnaires Are We Making Progress? Are We Making Progress as Leaders? One questionnaire for workforce members, one for the leadership team Seven-category framework 40 statements, five-point scale One easy way to begin using the Baldrige Criteria is through a pair of questionnaires called Are We Making Progress? and Are We Making Progress as Leaders? The questionnaires are designed to help you assess your organization�s progress on its journey toward performance excellence and to learn what can be improved. Are We Making Progress? is designed to be distributed to workforce members so that the organization can understand their perceptions, and Are We Making Progress As Leaders? is designed to be distributed to the organization�s leadership to understand their perceptions on the same questions. The questionnaires are organized by the seven Baldrige Criteria Categories and were revised in 2008. They contain 40 statements on a five-point scale and take about ten minutes to complete. They are written in simple language that will help you understand the intent of the seven Criteria Categories. One easy way to begin using the Baldrige Criteria is through a pair of questionnaires called Are We Making Progress? and Are We Making Progress as Leaders? The questionnaires are designed to help you assess your organization�s progress on its journey toward performance excellence and to learn what can be improved. Are We Making Progress? is designed to be distributed to workforce members so that the organization can understand their perceptions, and Are We Making Progress As Leaders? is designed to be distributed to the organization�s leadership to understand their perceptions on the same questions. The questionnaires are organized by the seven Baldrige Criteria Categories and were revised in 2008. They contain 40 statements on a five-point scale and take about ten minutes to complete. They are written in simple language that will help you understand the intent of the seven Criteria Categories.

9. Benefits of Are We Making Progress?Questionnaires Determine effectiveness of your communication of strategies, goals, and messages Focus improvement and communication Measure trust Compare results Modify questions to address specific needs These assessment tools will tell you if your organization is effectively setting and communicating its strategy, goals, and key messages and if the messages sent by your senior leaders are being effectively received. The answers to the questions will help you focus your improvement and communication efforts on those areas needing the most attention. They also can help you determine the level of trust in leadership among workforce, faculty, and staff members. When you have completed the survey in your organization, you can compare your results with those of other organizations by visiting our Web site. The questionnaires can be modified to address your specific needs, including adding questions, using language specific to your organization, or adding a personal message from your leaders. You can download the survey from our Web site (www.baldrige.nist.gov/Progress.htm) or request a copy by calling (301) 975-2036 or sending an e-mail to baldrige@nist.gov.These assessment tools will tell you if your organization is effectively setting and communicating its strategy, goals, and key messages and if the messages sent by your senior leaders are being effectively received. The answers to the questions will help you focus your improvement and communication efforts on those areas needing the most attention. They also can help you determine the level of trust in leadership among workforce, faculty, and staff members. When you have completed the survey in your organization, you can compare your results with those of other organizations by visiting our Web site. The questionnaires can be modified to address your specific needs, including adding questions, using language specific to your organization, or adding a personal message from your leaders. You can download the survey from our Web site (www.baldrige.nist.gov/Progress.htm) or request a copy by calling (301) 975-2036 or sending an e-mail to baldrige@nist.gov.

10. Easy Insight: Take a First Step Toward a Baldrige Self-Assessment Online self-assessment tool Based on the Organizational Profile Another easy way to begin your self-assessment is to use Easy Insight: Take a First Step Toward a Baldrige Self-Assessment, a �stoplight� approach to understanding current capabilities. Easy Insight is an online self-assessment tool based on the Organizational Profile, which also is known as the preface to the Baldrige Criteria. Another easy way to begin your self-assessment is to use Easy Insight: Take a First Step Toward a Baldrige Self-Assessment, a �stoplight� approach to understanding current capabilities. Easy Insight is an online self-assessment tool based on the Organizational Profile, which also is known as the preface to the Baldrige Criteria.

11. What is the Organizational Profile? Preface to the Criteria A series of questions to help you identify The key influences on your organization The key challenges your organization faces The Organizational Profile sets the context for evaluating your organization. It is what makes the Criteria for Performance Excellence applicable to any type of organization�business, education, health care, or nonprofit; large or small; single-site or with locations around the world. Specifically, the Organizational Profile is a series of questions that will help you better understand your organization. It creates a snapshot of your organization, so you can examine its key influences and challenges. The Organizational Profile asks you to examine your organization�s environment, relationships, competitive environment, strategic context, and performance improvement system. The Organizational Profile sets the context for evaluating your organization. It is what makes the Criteria for Performance Excellence applicable to any type of organization�business, education, health care, or nonprofit; large or small; single-site or with locations around the world. Specifically, the Organizational Profile is a series of questions that will help you better understand your organization. It creates a snapshot of your organization, so you can examine its key influences and challenges. The Organizational Profile asks you to examine your organization�s environment, relationships, competitive environment, strategic context, and performance improvement system.

12. How to Use Easy Insight Examine each question in the Organizational Profile and determine if the question is Easy to Answer Possible to Answer Difficult to Answer Compare your answers to others� Easy Insight: Take a First Step Toward a Baldrige Self-Assessment is a tool to help you take the first step toward completing the Organizational Profile. To complete this self-assessment, read and consider each question of the Organizational Profile within the context of your organization, and then determine the level of difficulty of answering each question. �Easy to answer� indicates questions that would be easy for your organization to answer and on which there is widespread agreement. �Possible to answer� indicates questions for which data are not readily available, but for which your organization could produce data to provide a consensus response with easy to moderate effort. �Difficult to answer� indicates questions that would be difficult or impossible for your organization to answer currently and/or that would make it difficult to reach agreement and consensus on the answer. When you have completed the online assessment, you can compare your answers to those of others who have completed Easy Insight. You can then develop an action plan to address gaps and issues.Easy Insight: Take a First Step Toward a Baldrige Self-Assessment is a tool to help you take the first step toward completing the Organizational Profile. To complete this self-assessment, read and consider each question of the Organizational Profile within the context of your organization, and then determine the level of difficulty of answering each question. �Easy to answer� indicates questions that would be easy for your organization to answer and on which there is widespread agreement. �Possible to answer� indicates questions for which data are not readily available, but for which your organization could produce data to provide a consensus response with easy to moderate effort. �Difficult to answer� indicates questions that would be difficult or impossible for your organization to answer currently and/or that would make it difficult to reach agreement and consensus on the answer. When you have completed the online assessment, you can compare your answers to those of others who have completed Easy Insight. You can then develop an action plan to address gaps and issues.

13. Benefits of Easy Insight  Determine readiness for a more thorough self-assessment Reveal gaps and opportunities for improvement Compare your organization to others Assist with developing an action plan for improvement or preparing for a more complete self-assessment Completing the Easy Insight self-assessment can help you determine your organization�s readiness for a more thorough self-assessment reveal gaps in information and opportunities for improvement allow you to compare your organization to others who already have completed the Easy Insight self-assessment assist you with developing an action plan for improvement or preparing for a more complete self-assessment Completing the Easy Insight self-assessment can help you determine your organization�s readiness for a more thorough self-assessment reveal gaps in information and opportunities for improvement allow you to compare your organization to others who already have completed the Easy Insight self-assessment assist you with developing an action plan for improvement or preparing for a more complete self-assessment

14. Prepare the Organizational Profile Organizational Profile Purpose: � Describe what is relevant and important � Ensure common understanding � Guide selection of information/data � Identify gaps/lack of deployment When you have completed Easy Insight and addressed your gaps or issues, you may be ready to move on to actually responding to the questions in the Organizational Profile. In preparing the Organizational Profile, your organization should gain a common understanding of what is important, and this understanding will then guide data collection and selection of information as the process continues. The Organizational Profile also will guide the assessment of approaches used by your organization, the extent of deployment of those approaches, and results achieved by it. Many organizations start with the Organizational Profile and progress gradually to more detailed levels of self-assessment and action. If through preparing an Organizational Profile, you identify topics for which conflicting, little, or no information is available, it is possible that your first self-assessment need not go further. These gaps can be the starting point for action to develop a better understanding of and begin improving your organization. When you have completed Easy Insight and addressed your gaps or issues, you may be ready to move on to actually responding to the questions in the Organizational Profile. In preparing the Organizational Profile, your organization should gain a common understanding of what is important, and this understanding will then guide data collection and selection of information as the process continues. The Organizational Profile also will guide the assessment of approaches used by your organization, the extent of deployment of those approaches, and results achieved by it. Many organizations start with the Organizational Profile and progress gradually to more detailed levels of self-assessment and action. If through preparing an Organizational Profile, you identify topics for which conflicting, little, or no information is available, it is possible that your first self-assessment need not go further. These gaps can be the starting point for action to develop a better understanding of and begin improving your organization.

15. Prepare the Organizational Profile Organizational Description Organizational Environment Organizational Relationships Organizational Situation Competitive Environment Strategic Context Performance Improvement System The requirements for the Organizational Profile are basically the same for all three sets of Criteria that we produce�Business/Nonprofit, Health Care, and Education�with some variation in vocabulary. There are two major sections with subparts under each. The first section is the basic description of your organization. This includes your organizational environment (product offerings, mission/vision/values, core competencies, workforce profile, technologies, equipment/facilities, and regulatory/legal environment). It also includes your organizational relationships (governance system, key customer groups/market segments, key product and customer-support service requirements, key suppliers, etc.). The second section focuses on your organizational situation. This includes your organization�s competitive environment (competitive position, relative size and growth, number of competitors, etc.). It also includes your strategic context (key business, operational, and human resource strategic challenges and advantages) and your performance improvement system (including your approach to evaluation and learning processes). The requirements for the Organizational Profile are basically the same for all three sets of Criteria that we produce�Business/Nonprofit, Health Care, and Education�with some variation in vocabulary. There are two major sections with subparts under each. The first section is the basic description of your organization. This includes your organizational environment (product offerings, mission/vision/values, core competencies, workforce profile, technologies, equipment/facilities, and regulatory/legal environment). It also includes your organizational relationships (governance system, key customer groups/market segments, key product and customer-support service requirements, key suppliers, etc.). The second section focuses on your organizational situation. This includes your organization�s competitive environment (competitive position, relative size and growth, number of competitors, etc.). It also includes your strategic context (key business, operational, and human resource strategic challenges and advantages) and your performance improvement system (including your approach to evaluation and learning processes).

16. Conduct a Full Self-Assessment: Six Basic Steps 1. Identify the boundaries/scope of the assessment. 2. Select seven champions, one for each Criteria Category. 3. Select Category teams and collect data and information to answer Criteria questions. Organizations more experienced with the Baldrige Criteria or those that have successfully addressed the Organizational Profile may be ready to use the complete set of Criteria to conduct a full self-assessment. The following are six basic steps for conducting a full self-assessment, though we encourage you to modify this process to meet your organizational needs. 1. Identify whether the whole organization or a specific part of it will be assessed. Determine if the self-assessment will cover the entire organization, a subunit, a division, or a department. 2. Select champions for each of the Baldrige Categories. These champions will participate in preparing responses to the Item questions in the Categories. If they have not already done so, champions should prepare an Organizational Profile describing your organization and its challenges. 3. Champions select Category teams, who collect information and data for responding to the Criteria questions in their respective Categories. Organizations more experienced with the Baldrige Criteria or those that have successfully addressed the Organizational Profile may be ready to use the complete set of Criteria to conduct a full self-assessment. The following are six basic steps for conducting a full self-assessment, though we encourage you to modify this process to meet your organizational needs. 1. Identify whether the whole organization or a specific part of it will be assessed. Determine if the self-assessment will cover the entire organization, a subunit, a division, or a department. 2. Select champions for each of the Baldrige Categories. These champions will participate in preparing responses to the Item questions in the Categories. If they have not already done so, champions should prepare an Organizational Profile describing your organization and its challenges. 3. Champions select Category teams, who collect information and data for responding to the Criteria questions in their respective Categories.

17. Conduct a Full Self-Assessment: Six Basic Steps (cont.) 4. Share answers to Criteria questions among Category teams. 5. Create and communicate an action plan for improvement. 6. Evaluate the self-assessment process for future improvements. 4. Category teams share their answers to Criteria questions with other Category teams. Category teams identify common themes in their answers. 5. Each Category team creates and communicates an action plan for improvement based on their answers and organizational priorities. The Self-Analysis Worksheet, available online at www.baldrige.nist.gov/Word_files/Optional_Worksheet_Bus.doc, can help your Category teams identify strengths and opportunities, set priorities, and develop action plans. The Self-Analysis Worksheet is also available using the Health Care and Education Criteria, for which it has slightly different URLs on the Baldrige Web site. 6. In the final step in the process, senior leaders, champions, and teams evaluate what has been done and think about ways to improve the self-assessment process in the future. Your organization�s experience with and prior use of the Baldrige Criteria may determine whether you use an informal self-assessment or a formal approach that includes developing a written report. If you decide on an informal assessment�which many organizations have found to be a good way to start�you can complete the exercise in a one- or two-day meeting. 4. Category teams share their answers to Criteria questions with other Category teams. Category teams identify common themes in their answers. 5. Each Category team creates and communicates an action plan for improvement based on their answers and organizational priorities. The Self-Analysis Worksheet, available online at www.baldrige.nist.gov/Word_files/Optional_Worksheet_Bus.doc, can help your Category teams identify strengths and opportunities, set priorities, and develop action plans. The Self-Analysis Worksheet is also available using the Health Care and Education Criteria, for which it has slightly different URLs on the Baldrige Web site. 6. In the final step in the process, senior leaders, champions, and teams evaluate what has been done and think about ways to improve the self-assessment process in the future. Your organization�s experience with and prior use of the Baldrige Criteria may determine whether you use an informal self-assessment or a formal approach that includes developing a written report. If you decide on an informal assessment�which many organizations have found to be a good way to start�you can complete the exercise in a one- or two-day meeting.

18. Self-Assessment Resources 2009-2010 Criteria for Performance Excellence booklets (Business/Nonprofit, Health Care, and Education versions) State and local Baldrige-based programs Baldrige Examiners Baldrige Award recipients Conferences Many resources are available to assist you in your self-assessment efforts. The 2009-2010 Criteria for Performance Excellence booklet provides the blueprint for an effective self-assessment. Numerous state and local Baldrige-based award programs provide helpful services in the area of self-assessment and action in addition to their award program functions. There are programs in nearly every state. Baldrige Examiners can help you understand the Criteria and how to apply them in your self-assessment and action efforts. Examiners receive training each year on the Baldrige Criteria. Baldrige Award recipients honor their responsibility to serve as performance improvement advocates, share their strategies, and serve as role models. Many undertake ongoing self-assessments of their organizations and can share their experiences with you. The Baldrige Program holds one national and two regional conferences each year to share the role-model approaches of its Award recipients. These conferences provide insights into the practices of numerous organizations that have used the Criteria to improve. Workshops on self-assessment are often offered in conjunction with these conferences. To obtain a copy of the 2009-2010 Criteria for Performance Excellence booklet or information on any of the above sources of assistance, contact the Baldrige National Quality Program at (301) 975-2036. Many resources are available to assist you in your self-assessment efforts. The 2009-2010 Criteria for Performance Excellence booklet provides the blueprint for an effective self-assessment. Numerous state and local Baldrige-based award programs provide helpful services in the area of self-assessment and action in addition to their award program functions. There are programs in nearly every state. Baldrige Examiners can help you understand the Criteria and how to apply them in your self-assessment and action efforts. Examiners receive training each year on the Baldrige Criteria. Baldrige Award recipients honor their responsibility to serve as performance improvement advocates, share their strategies, and serve as role models. Many undertake ongoing self-assessments of their organizations and can share their experiences with you. The Baldrige Program holds one national and two regional conferences each year to share the role-model approaches of its Award recipients. These conferences provide insights into the practices of numerous organizations that have used the Criteria to improve. Workshops on self-assessment are often offered in conjunction with these conferences. To obtain a copy of the 2009-2010 Criteria for Performance Excellence booklet or information on any of the above sources of assistance, contact the Baldrige National Quality Program at (301) 975-2036.

19. Additional Resources Are We Making Progress? Are We Making Progress as Leaders? Easy Insight Your Guide to Performance Excellence Customer Service: (301) 975-2036, baldrige@nist.gov Web site: www.nist.gov/baldrige The Web site contains up-to-date information on the Baldrige National Quality Program and allows online access to most of our publications and materials, including all those mentioned in this presentation. In addition to the Are We Making Progress? questionnaires and Easy Insight: Take a First Step Toward a Baldrige Self-Assessment, you can download or request a copy of Your Guide to Performance Excellence, a brochure that includes information on using the Baldrige Criteria. Distribute copies of these publications to others in your organization to help you begin your Baldrige self-assessment. The Web site contains up-to-date information on the Baldrige National Quality Program and allows online access to most of our publications and materials, including all those mentioned in this presentation. In addition to the Are We Making Progress? questionnaires and Easy Insight: Take a First Step Toward a Baldrige Self-Assessment, you can download or request a copy of Your Guide to Performance Excellence, a brochure that includes information on using the Baldrige Criteria. Distribute copies of these publications to others in your organization to help you begin your Baldrige self-assessment.