MESSAGE FROM THE DIRECTOR I am pleased to transmit the criteria package for the 1994 Presidential Award for Quality. Each year this Award is given by the President of the United States to a Federal organization that has implemented quality management in an exemplary manner, and is providing high quality service to its customers. Competition for this Award stimulates improvement in quality and productivity, and fosters activities that support the Administration's Reinventing Government initiative. Agencies must notify the Federal Quality Institute of all organizations that will apply on or before July 30, 1993. Applications for the 1994 Presidential Award for Quality must be received by the Federal Quality Institute no later than September 29, 1993. An applicant must be an autonomous organization with at least 500 full-time Federal employees. To be competitive for the Award, an applicant must have a mature quality improvement effort and be able to demonstrate improvement trends of three- to-six years. The following booklet provides additional information on eligibility requirements, procedures for applying, and the Award criteria. If you need further information please call Dick O'Brien at (202) 376-3747. To obtain additional copies of this booklet, call (202) 376-3753. Quality management is the vehicle for reinventing the Federal Government. Given the importance of this endeavor, I encourage agencies to apply for the Presidential Award for Quality and use the criteria to spur the transformation process. James B. King Director United States Office of Personnel Management "In recognition of your service to customers and commitment to excellence..." Presidential Award for Quality CONTENTS Page I. Introduction 1 Background . . . . . . . . . . . . . . . .1 The Awards . . . . . . . . . . . . . . . .1 Purpose. . . . . . . . . . . . . . . . . .1 II. Application Instructions 2 Eligibility. . . . . . . . . . . . . . . .2 Timetable. . . . . . . . . . . . . . . . .2 Application. . . . . . . . . . . . . . . .3 Submission of Applications . . . . . . . .4 Notification of Intent to Apply. . . . . .4 Application Deadline . . . . . . . . . . .4 III. Evaluation and Recognition 5 Evaluation Process . . . . . . . . . . . .5 Site Visits. . . . . . . . . . . . . . . .5 Final Selection. . . . . . . . . . . . . .5 Feedback . . . . . . . . . . . . . . . . .5 Award Presentation . . . . . . . . . . . .5 IV. Winners' Responsibilities 6 Work Products. . . . . . . . . . . . . . .6 Costs. . . . . . . . . . . . . . . . . . .6 V. Award Criteria 7 Leadership . . . . . . . . . . . . . . . .8 Information and Analysis . . . . . . . . 10 Strategic Quality Planning . . . . . . . 12 Human Resource Development and Management13 Management of Process Quality. . . . . . 15 Quality and Operational Results. . . . . 17 Customer Focus and Satisfaction. . . . . 18 CONTENTS (CONTINUED) VI. Scoring Guidelines 20 Leadership . . . . . . . . . . . . . . . 22 Information and Analysis . . . . . . . . 26 Strategic Quality Planning . . . . . . . 29 Human Resource Development and Management32 Management of Process Quality. . . . . . 37 Quality and Operational Results. . . . . 42 Customer Focus and Satisfaction. . . . . 44 VII. Nomination Form I. INTRODUCTION Background The President's Quality Award Program is administered by the Federal Quality Institute. The Program was created in 1988, and includes two awards: the Presidential Award for Quality and the Quality Improvement Prototype. Both are awarded on an annual basis to Federal organizations. The Presidential Award criteria are an adaptation of the Malcolm Baldrige National Quality Award criteria, but reflect the unique Federal environment and culture. Federal agencies competing for the Award will now be evaluated against the same standards of excellence used for private sector companies. This congruence will facilitate cooperation and the exchange of information between public and private sector organizations. The Awards The Presidential Award for Quality is designed for organizations that have mature quality management efforts (at least 3-6 years), and are well-advanced in the quality transformation process. Applicants must be part of the Federal Government, and have at least 500 Federal employees. The Presidential Award may be given to as many as 2 organizations each year. The Quality Improvement Prototype (QIP) Award is designed for organizations that have recently begun the quality transformation process. The concepts embodied by the Criteria are very similar to the Presidential Criteria, but do not include some of the more advanced concepts. Applicants must be a part of the Federal Government, and have at least 100 Federal employees. The QIP Award may be given to as many as 6 organizations each year. Purpose The Presidential Award for Quality was created to:  recognize organizations that have implemented quality management in an exemplary manner, resulting in high quality products and services, the effective use of taxpayer dollars; and  promote quality management awareness and implementation throughout the Federal Government. II. APPLICATION INSTRUCTIONS Eligibility An applicant organization must meet the following conditions:  be a part of the Federal Government;  have no fewer than 500 full-time Federal employees;  be autonomous, with its own defined mission; and  provide products or services to the American public (with the exception of Department of Defense organizations, whose primary customers are frequently other military organizations). An administrative or support organization is not eligible. Each Cabinet department and executive agency may submit a maximum number of applications for the Presidential Award, according to its size: a) up to 50,000 employees - 2 application b) up to 95,000 employees - 3 applications c) over 95,000 employees - 4 applications d) Department of Defense may submit a maximum of 3 applications for each service (Army, Navy, and Air Force), and a total of 3 additional applications for the other Defense agencies. These limits are set to encourage agencies to conduct internal reviews, and select the best nominations. The Award process should not be used as a substitute for agency organizational assessments. Winners of the Presidential Award, including organizational sub- components, may not re-apply for 4 subsequent years. For example, the winner of the 1989 Presidential Award - the Naval Air Systems Command and all its sub-components - is eligible to re-apply in 1994. Similarly, the 1991 winner may not reapply until 1996. An organization may not apply for both the QIP and Presidential Awards in the same year. An application that does not satisfy the above requirements will not be evaluated. The applicant will be notified. Timetable Applications available June 1993 Notification of intent to apply July 30, 1993 Applications due September 29, 1993 Application review October 20-21, 1993 Site visits November 1 - December 30, 1993 Final judging January 26-27, 1994 Award presented to be announced Application To apply for the Presidential Award please complete the nomination form at the end of this booklet, and prepare a written application that addresses the specific sub-elements described in the Award Criteria (Section V). An organization with fewer than 20,000 employees should prepare an application of no more than 60 pages, including all illustrative attachments (charts, graphs, quality vision statement, etc.). An additional 1-3 page summary should be included that states the mission of the applicant organization, describes its products and services, the customers of its products and services, and a brief history of when and why quality management was implemented. Attach an organization chart. Pages in excess of the 60-page limit will not be examined. An organization with 20,000 or more employees should prepare an application of no more than 70 pages, including all illustrative attachments (charts, graphs, quality vision statement, etc.). In addition, a 1-5 page summary should be included that describes the organization's mission, products and services, customers, and a brief history of when and why quality management was implemented. Attach an organization chart. Pages in excess of the 70-page limit will not be examined. Applications must be typed or printed in no smaller than 10 pitch or 12 point font. Each sub-element (e.g., 1.1.a., 1.2.b., etc.) of the Criteria must be separately labeled and addressed in the application. Please do not use glossy paper. There is no need to submit a multi-colored document. The application must be able to stand on its own. It is particularly important to describe the mission, products, and services so that individuals unfamiliar with the organization can fully understand its business. Descriptions for each sub-element should be fully responsive, and assume no prior knowledge of the organization. Responses should be concise and quantitative where possible. Statements should be supported by facts and information. Assertions unsupported by plausible data, information, or facts will receive no credit during application evaluation. Care should be taken to fully define terminology specific to the business of the organization. If acronyms are used, define them and provide a glossary (glossary pages will not be counted in above page limits). The Examiners and Judges are customers in the application review process. The above specifications are feedback gathered directly from them. Applicants, the suppliers in the application review process, should strive to satisfy the customers' expectations of an application package that is easy to evaluate. Doing so will optimize the evaluation and selection processes, as well as enable the Examiners to produce a thorough feedback package that accurately reflects the applicant's status in relation to the Criteria. Submission of Applications Agencies should designate a centralized coordinator responsible for submitting applications. The coordinator must assure that the quota for submissions outlined above is observed, and that all applicants meet the eligibility requirements. Agency submissions should be sent to the Federal Quality Institute as a package. To apply, mail or deliver 10 copies of the complete application package (including nomination form) to: Presidential Award for Quality Federal Quality Institute National Building Museum, Room 331 401 F Street, NW Washington, DC 20001 Notification of Intent to Apply All agencies and departments wishing to submit applications must notify the Federal Quality Institute of this intent by July 30, 1993. Please provide the names of the individual applicant organizations, as well as an agency official who can be contacted for any additional information. This notification is a commitment to apply, and should not be viewed merely as an opportunity to reserve a place in the competition. Application Deadline The Federal Quality Institute must receive applications by September 29, 1993. A review will be made of each applicant to verify its eligibility. Applications received after this date will be considered ineligible for the 1994 Award. III. EVALUATION AND RECOGNITION Evaluation Process A Panel of Examiners from public and private sector organizations will evaluate the applications. Points will be assigned to the written descriptions of each Criteria element based on the scoring guidelines in Section VI. No Examiner will review applications from organizations within his or her own agency, or from organizations with which he or she has a relationship. Site Visits A maximum of 5 finalists will be selected based on the application scores. Examiners will visit the sites of these finalists, to supplement and validate information contained in the applications. Finalist organizations may be asked to bear site visit costs for up to three Examiners. Final Selection A Panel of Judges, also comprised of public and private sector representatives, will select a maximum of 2 winners from the finalists based on the evaluations of the written applications and the results of the site visits. Feedback A feedback package based on the Examiners' review containing comments on strengths and areas for improvement will be prepared for each eligible applicant, and sent to the head of the applicant organization. Award Presentation Presidential Award winners will receive the custom-designed cut crystal trophy shown in this booklet. The Federal Quality Institute will showcase Award winners throughout the year. IV. WINNERS' RESPONSIBILITIES Work Products As indicated in Section I, the Presidential Award was created to recognize quality organizations and to promote quality management awareness throughout the Federal Government. Accordingly, each Award winner will be asked to:  prepare a case study describing its quality management approach and accomplishments;  produce a videotape that showcases its quality management efforts;  participate in the National and Regional Conferences on Federal Quality; and  host on-site visits for interested groups. Costs Award winners will bear the costs of case study publication, video production, and travel to the conferences. V. AWARD CRITERIA The Criteria are the basis for applying for the Award, and providing feedback to applicants. They define a quality system -- the key elements of a quality improvement effort and the relative importance and interrelationship of these elements. The Criteria are also supportive of the Administration's initiative to Reinvent Government. The Criteria embody certain Core Values and Concepts of quality management:  Quality is defined by the customer.  A focus on continuous improvement is part of all operations and activities.  Prevention of problems and waste is achieved through building quality into products, services, and processes.  Success in meeting quality and performance goals depends on work force quality and involvement.  Senior management creates a customer orientation, clear and visible quality values, and high expectations. Reinforcement of values and expectations requires substantial personal commitment and involvement.  Employees are valued and recognized for their involvement and accomplishments.  Management decisions are made based upon reliable information, data, and analysis.  Long-term commitments are made to customers, employees, suppliers, and the community.  Public responsibilities are fulfilled.  Partnerships are built with other agencies and the private sector, to better accomplish overall goals. The Criteria elements are:  Leadership (125 points)  Information and Analysis (75 points)  Strategic Quality Planning (60 points)  Human Resource Development and Management (170 points)  Management of Process Quality (140 points)  Quality and Operational Results (180 points)  Customer Focus and Satisfaction (250 points) The point distribution indicates the relative importance of each element of the Criteria in an integrated quality management system. 1. Leadership 125 points Leadership examines executives' personal commitment and involvement in creating and sustaining an organizational vision and customer focus orientation, as well as clear and visible quality values. It also examines how the vision, values and customer focus orientation are integrated into the management system, labor relations and external partnerships, and are reflected in the way public responsibilities are addressed. 1.1 Executive Leadership a. Describe executives' commitment, personal involvement and visibility in quality related activities. Include: (1) reinforcing customer focus, (2) creating an organizational vision, quality values and setting expectations; (3) planning and reviewing progress toward quality and operational performance improvement goals; (4) recognizing employee contributions and (5) communicating quality values outside and throughout the organization. b. Provide a brief summary of the organization's vision, quality values and customer focus policy. c. Describe how executives regularly communicate and reinforce the vision, quality values and customer focus orientation with managers and supervisors. 1.2 Managing for Quality a. Describe how the organization's vision, quality values, and customer focus orientation are translated into requirements for all managers and supervisors. b. Summarize the principal roles and responsibilities of managers and supervisors within their units, and how cooperation with other units is fostered. c. Describe how the vision, quality values and customer focus orientation are communicated and reinforced throughout the organization. d. Describe how performance is reviewed with regard to quality and operational performance improvement plans, and how work units that are not performing according to plan are assisted. e. Describe how mutual involvement with union leadership is addressed in the implementation of quality values and customer focus. f. Describe how the organization partners with customer organizations, contractors, suppliers and other external organizations, and how your organization and its partners work toward common goals. 1.3 Public Responsibility and Community Citizenship a. Describe how public responsibilities are integrated into quality policies and improvement practices. b. Explain how citizenship responsibilities in key communities are fulfilled. 2. Information and Analysis 75 points Information and Analysis examines the scope, management, and use of data, information and measures, and how they are used to drive quality and operational performance improvement. It also examines the adequacy of the organization's data, information, and analysis system to support improvement of customer satisfaction, products, services, and processes. 2.1 Scope and Management of Quality and Performance Data and Information a. Describe the criteria for developing measures, selecting data and information for use in quality and operational performance improvement (e.g., cycle time, productivity, waste reduction). b. List key types of data and information used (the actual data are requested in Elements 4, 6, and 7), and briefly outline the principal purposes of each in improving quality and operational performance. Describe how measures relate to plans and goals as described in Element 3. c. Explain how reliability, consistency, validity, and ready access to data are assured. 2.2 Similar Provider Comparisons and Benchmarking a. Describe how benchmark data and comparisons with similar providers are used to help drive improvement of quality and operational performance improvement. b. Provide a brief summary of the current scope and principal uses of various types of comparative and benchmark data, including product and service quality, business processes and support services (e.g., finance and accounting, information services, public affairs, procurement, facilities management, administrative services), employee-related activities, and supplier-related activities. 2.3 Analysis and Uses of Organization- Level Data a. Describe how quality and customer data are aggregated with other key data, analyzed and translated into actionable information to: resolve customer-related problems; and determine key customer-related trends to support reviews, decision making, and longer-term planning. b. Describe how operational performance data are aggregated with other key data, analyzed and translated into actionable information to: make short-term improvements in organization operations; and determine key operational trends to support reviews, decision making and longer-term planning. 3. Strategic Quality Planning 60 points Strategic Quality Planning examines the organization's planning process, and how key quality requirements are integrated into overall planning. Both the organization's short- and longer-term plans are examined, as well as how quality and operational performance improvement goals are deployed to all work units. 3.1 Quality and Operational Performance Planning Process a. Describe how strategies, plans and goals are developed to address quality (including customer focus and satisfaction) and operational performance improvement for the short-term (1-2 years) and longer-term (3 years or more). Describe how plans consider: (1) customer requirements and expected evolution of these requirements; (2) capabilities (including human resource development) to address key requirements or technological opportunities; (3) supplier capabilities; (4) realigning work processes to improve operational performance; (5) productivity improvement and reduction of waste; and (6) performance of similar providers. Describe how plans are aligned with the vision, values, and customer focus orientation described in Element 1. b. Explain how plans are deployed to all work units, suppliers and key partners, and how resources are committed to meet the plan requirements. c. Describe how the planning process is improved. 3.2 Quality and Operational Performance Plans a. Outline both the organization's principal short- and longer-term quality (including customer focus and satisfaction) and operational performance improvement plans and goals. Include: a summary of key requirements and key operational performance indicators deployed to work units, suppliers, and key partners; a brief description of resources committed for key needs (e.g., capital equipment, facilities, education and training, and personnel). b. Provide a 2-5 year projection of the most important quality and operational performance improvement indicators. 4. Human Resource Development 170 points and Management Human Resource Development and Management examines how the entire workforce is enabled to develop its full potential, and to pursue quality and operational performance improvement goals. It also examines efforts to build and maintain an environment for workforce excellence, which is conducive to increased involvement, personal and organizational development. 4.1 Human Resource Planning and Management a. Briefly outline the key elements of the organization's HR plan for (1) employee involvement; (2) education and training; (3) workforce mobility and diversity, (4) organization re-structuring and work re-design; (5) rewards, recognition, or compensation; and (6) performance management and feedback. Explain how these elements are integrated with the overall quality and operational performance improvement plans and goals, as described in Element 3. b. Describe how HR operations and practices are improved. 4.2 Employee Involvement a. Describe the types of involvement mechanisms available for all individuals and groups (employees and managers), and how they contribute to the organization's quality and operational performance improvement goals. b. Explain how the organization increases employee involvement. Explain how an environment is created that supports increased empowerment, personal responsibility, and risk-taking; and how such an environment fosters creativity and innovation. c. Describe the key methods and indicators used to evaluate the effectiveness and extent of involvement. Provide trend data (3-6 years) for the most important indicators of the effectiveness and extent of workforce involvement, across the spectrum of grade levels and types of employees. 4.3 Employee Education and Training a. Explain how employees' needs for quality and related education and training are determined (including how employee input is used), and how these needs are integrated with the organization's quality and operational performance improvement plans. b. Briefly describe the types of quality and related education and training provided for the entire workforce, and how they are delivered and reinforced. c. Describe the key methods and indicators used to evaluate the effectiveness and extent of quality and related education and training. Provide trend data (3-6 years) for key indicators of the effectiveness and extent of education and training, across the spectrum of grade levels and types of employees. 4.4 Employee Performance and Recognition a. Describe the organization's approaches to employee performance, feedback, reward and recognition, and how they support the attainment of quality and operational performance improvement goals. b. Describe the key methods and indicators used to evaluate the effectiveness and extent of employee performance, feedback, reward, and recognition. Provide trend data (3-6 years) for key indicators of the effectiveness and extent of reward and recognition activities, across the spectrum of grade levels and types of employees. 4.5 Employee Well-Being and Satisfaction a. Explain how special services and employee opportunities (e.g., flexible work hours, counseling) and well-being factors (e.g., health, safety, ergonomics, other environmental considerations) are included in quality improvement activities. b. Provide trend data (3-6 years) for key indicators of employee well-being and satisfaction. 5. Management of Process Quality 140 points Management of Process Quality examines the systematic processes used by the organization for continuous improvement of quality and operational performance improvement. It also examines design and management of process quality for all work units, the management of internal customer-supplier relationships, supplier and intermediary quality, and quality assessment. 5.1 Design and Introduction of Quality Products and Services a. Describe how new and/or improved products and services are designed and introduced to meet or exceed customer requirements (as described in Element 7). Describe how processes are designed to produce and deliver products and services, and how measurement systems are developed to track process performance. b. Explain how designs are reviewed and validated, taking into account product and service performance, process capability, and supplier and intermediary capability. 5.2 Process Management: Product and Service Production and Delivery Processes a. Describe how key production and delivery processes are managed to meet product and service design requirements. b. Describe how the internal customer-supplier relationship is managed so that requirements and expectations for production and delivery processes are understood and met. Include an explanation of how feedback and complaints are obtained and used, and how information and assistance are made readily available. c. Explain how root causes are determined for significant variations in processes or outputs, and how corrections are made and verified. 5.3 Process Management: Business Processes and Support Services a. Describe how key business processes and support services (e.g., finance and accounting, information services, public affairs, procurement, facilities management, administrative services) are managed to meet customer and/or organization quality and operational performance requirements. b. Describe how the internal customer-supplier relationship is managed so that requirements and expectations for business processes and support services are understood and met. Include an explanation of how feedback and complaints are obtained and used, and how information and assistance are made readily available. c. Explain how root causes are determined for significant variations in processes or outputs, and how corrections are made and verified. 5.4 Supplier and Intermediary Quality a. Describe how the organization defines quality requirements and selects suppliers based on these requirements; explain how requirements are communicated to suppliers and/or intermediaries (those groups used to reach the organization's ultimate customers). Include a brief summary of the principal quality requirements for key suppliers and/or intermediaries, and the key indicators used to evaluate their quality. b. Describe the methods used to assure that quality requirements are met by suppliers and/or intermediaries. 5.5 Quality Assessment a. Describe how the organization assesses the quality and performance of its key systems, processes, and practices and the quality of its key products and services. b. Explain how assessment findings are used to improve key products and services, systems, processes, practices, and quality requirements for suppliers and intermediaries. 6. Quality and Operational Results 180 points Quality and Operational Results examines the organization's trends and quality levels for products and services, operational performance, business processes and support services, supplier and intermediary quality, and comparison/benchmark data. 6.1 Product and Service Quality Results a. Provide trend data (3-6 years) and current levels for key measures of product and service quality, as described in Element 2. b. Provide current quality level comparisons with appropriate benchmarks, as described in Element 2. 6.2 Operational Performance Results a. Provide trend data (3-6 years) and current levels for key measures of operational performance, as described in Element 2. b. Provide current operational performance level comparisons with appropriate benchmarks, as described in Element 2. 6.3 Business Process and Support Service Results a. Provide trend data (3-6 years) and current levels for key of performance measures of business processes and support services, as described in Element 2. b. Provide current performance level comparisons of business processes and support services with appropriate benchmarks, as described in Element 2. 6.4 Supplier and Intermediary Quality Results a. Provide trend data (3-6 years) and current levels for the most important quality indicators of key suppliers and intermediaries. 7. Customer Focus and Satisfaction 250 points Customer Focus and Satisfaction examines the organization's knowledge of external customer requirements, and how relationships with customers are established and maintained. It also examines the methods used to determine customer satisfaction, and the trends and current levels of customer satisfaction. 7.1 Customer Expectations: Current and Future a. Describe how the organization determines current and future requirements and expectations of customers. Describe how customer groups are determined; and the process for collecting information (e.g., what information is sought, how often, methods used). Explain how this information is shared with relevant employees. b. Describe how the process for determining customer needs and expectations are improved. 7.2 Customer Relationship Management a. Summarize key requirements for maintaining and building relationships around key processes and transactions that bring employees into contact with customers. Explain how key quality indicators are derived from these requirements. b. Describe service standards derived from the quality indicators addressed in 7.2.a. Explain how these standards are deployed to all relevant employees, and how they are tracked. c. Explain how information is provided and easy access assured, to enable customers to seek assistance, comment and complain. d. Describe how the organization follows up with customers on products, services and recent transactions to seek feedback and to help build relationships. e. Describe how formal and informal customer complaints and feedback received are aggregated for overall evaluation and use through out the organization. Describe how complaints and problems are resolved promptly and effectively. 7.3 Commitment to Customers a. Describe the types of commitments that are made to promote trust and confidence in products, services and relationships, and how these commitments are communicated to external customers. 7.4 Determination of Customer Satisfaction a. Describe how customer satisfaction is determined, including the methods, processes and measures used, and their frequency. Measures of customer dissatisfaction may also be described. b. Describe how the methods, processes, and measures used to determine customer satisfaction are improved. 7.5 Customer Satisfaction Results a. Provide trend data (3-6 years) and current levels of external customer satisfaction or dissatisfaction (e.g., complaints, claims, repeat service, litigation, official telephone calls or letters of inquiry). 7.6 Customer Satisfaction Comparison a. Compare customer satisfaction results directly with those of similar providers, or using information such as service awards, recognition/ratings by other organizations, surveys, etc. V. SCORING GUIDELINES The Panel of Examiners will use the scoring guidelines to determine the appropriate number of points that should be assigned to each Criteria element. The figure on page 21 depicts the theoretical construct of the scoring guidelines. Two dimensions are measured: the integrity of the approach, and the extent of the implementation of that approach. For example, the 100-80% range describes a world-class organization, with a sound, systematic, effective, and quality management-based approach that is fully integrated and implemented across the organization. The 60-40% range describes an organization with a well-planned, sound, and systematic approach that is well integrated and implemented in many parts of the organization. Based on a thorough review of the application and comparison to the scoring guidelines, the Examiners will reach consensus on a specific percentage score for each Criteria element. The percentage will be multiplied by the total number of points possible for that element. For example, the Examiners decide that Applicant A fits at the 60% mark for Element 1. They would then multiply .60 by the total number of points, 125, and arrive at a score of 75 for Leadership. This procedure will be repeated for each of the other six elements. The total score for the applicant organization is the sum of each of the seven element scores. NOTE: When reading the scoring guidelines, a slash should be interpreted as the word "or" and a comma should be interpreted as the word "and". SCORING GUIDELINES APPROACH IMPLEMENTATION  World class; sound, systematic, effective; quality management-based; continuously evaluated, refined, improved  Complete integration  Innovative  Fully in all areas, functions  Ingrained in organization culture  Well-developed, tested; quality management-based  Excellent integration across functions  In most areas, functions  Evident in culture of most groups  Well-planned, documented; sound, systematic, quality management-based; all aspects addressed  Good integration across functions  In many areas, functions  Evident in culture of many groups  Beginning of sound, systematic, quality management-based effort; not all aspects addressed  Begun in some areas, functions  Evident in culture of some groups  Beginning of quality management awareness  No integration across functions  Beginning in some areas, functions  Not part of culture 1. Leadership 125 points 100-80%  Senior executives personally, visible involved and in broad range of quality-related activities; significant time is devoted to these activities  Quality values, customer focus policy easily understood, widely communicated; evidence that culture is changing  Senior executives use variety of methods to communicate and reinforce vision, quality values, customer focus orientation; communication is two-way, clear, open, covers all issues  Effective strategies involve managers, supervisors in all units in quality related activities; roles, responsibilities, accountability clearly defined; extensive cooperation across units is evident  Vision, quality values, customer focus orientation effectively communicated inside, outside organization; continuous improvement belief permeates organization; extent to which quality values adopted evaluated  Documented review process of its quality and operational improvement plans used in all units; results used to implement strategies to improve organization-wide performance  Performance management system for managers, supervisors addresses wide range of quality-related requirements; system evaluated, improved  Senior leaders and union leaders actively participate in planning, attaining quality goals; mutual support visible to all in organization, reinforced through communications, partnering  Partnering relationships exist with major customer groups suppliers/intermediaries, others; number of mutually supportive activities expanding in support of quality, performance goals  Quality goals, objectives directly address public health, safety, environmental protection, ethical conduct; accountability for achieving goals, objectives clearly established; improvement efforts throughout organization reflect this commitment  Organization recognized as outstanding citizen in its key communities; employees share talents/expertise with communities 80-60%  Most senior executives personally, visibly involved in broad range of quality-related activities; significant time devoted to these activities  Quality values, customer focus policy easily understood, widely communicated  Most senior executives use variety of methods to communicate/ reinforce vision, quality values, customer focus orientation; communication often two-way, clear, open, consistent  Effective strategies involve managers, supervisors in most units in quality-related activities; roles, responsibilities defined, good cooperation across most units evident  Vision, quality values, customer focus orientation widely communicated; continuous improvement belief permeates most of organization; extent to which quality values adopted regularly evaluated  Documented review process of quality, operational improvement plans used in most units; results used to implement strategies to improve key processes, unit level performance  Performance management system for many managers, supervisors addresses wide range of quality-related requirements  Senior leaders and union leaders actively participate in achieving quality goals; mutual support visible to most in organization, reinforced through communications  Partnering relationships exist with key customer groups, suppliers/intermediaries; pilot partnering activities undertaken in support of quality, operational performance goals  Quality goals, objectives reflect commitment to public health, safety, environmental protection, ethical conduct; improvement efforts across most of organization reflect this commitment  Organization recognized as excellent citizen of its key communities; employees share talents/expertise with communities 60-40%  Many senior executives personally, visibly involved in quality- related activities  Quality values, customer focus policy easily understood, used by most units  Many senior executives use variety of methods to communicate, reinforce vision, quality values, customer focus orientation; communication often two-way, clear, consistent  Effective strategies involve managers, supervisors in many units in quality-related activities; roles, responsibilities defined; good cooperation across many units  Vision, quality values, customer focus policy communicated; continuous improvement belief permeates many units; extent to which quality values adopted occasionally evaluated  Documented review process of quality, operational improvement plans used in many units; results used to implement strategies to improve key processes  Performance management system for most managers, supervisors addresses quality-related requirements  Senior leaders and union leaders actively participate in attaining quality goals; mutual support visible to some in organization, reinforced through communications  Partnering relationships exist with some customer groups, suppliers/intermediaries; linked to quality, operational performance goals  Quality goals, objectives reflect commitment to public health, safety, environmental protection, ethical conduct; improvement efforts across many areas reflect this commitment  Organization recognized as good citizen of its key communities; employees share talents/expertise with communities 40-20%  Some advocates among senior management personally involved, visible in quality-related activities; some senior executives support quality improvement projects, most of which have specific, short-term goals, payoff  Vision, quality values, customer focus policy developed, used by some units  Some senior executives communicate, reinforce vision, quality values, customer focus orientation  Managers, supervisors involved in many quality-related activities; expectations concerning cooperation clearly articulated, encouraged  Quality values, customer focus policy communicated throughout much of organization  Progress in quality reviewed; improvement projects initiated to meet quality goals  Performance management system for managers and supervisors being developed; includes quality-related requirements  Senior leaders and union leaders participate in attaining quality goals  Partnering relationships under development with some customer groups, suppliers/intermediaries; specifically linked to quality improvement  Quality policies state commitment to public health, safety, environmental protection, ethical conduct; improvement projects in some units reflect this commitment  Organization committed to being good citizen in its key communities 20-0%  A few advocates within senior management personally, visibly involved in quality-related activities; a few senior executives support quality improvement projects.  Quality values, customer focus policy provided  A few advocates within senior management communicate, reinforce quality values, customer focus orientation  Managers, supervisors in some units involved in quality- related activities; cooperation across some units beginning  Quality values, customer focus policy communicated within a few areas  A few improvement projects begun  A few senior leaders, union leaders participate in quality- related activities  Quality policies relate public health, safety, environmental protection, ethical conduct  A few community-related projects conducted 2. Information and Analysis 75 points 100-80%  Criteria for developing measures, selecting data/information for use in quality, operational performance improvement integrated, used throughout organization  Key data/information relating to broad range of quality, operational performance characteristics provided; purposes of each described; measures relate to goals in quality, operational performance plans throughout organization  Processes, technologies used across organization to assure that information collected is reliable, consistent, valid, readily accessible  Systematic changes made to improve quality, operational performance in many areas, based on benchmarking/ comparisons with recognized leaders for similar activities  Many areas use benchmark/comparison data, including product and service quality, business processes, support services, employee-related activities, supplier/intermediary- related activities  Across organization quality, customer data are aggregated with other key data, analyzed, translated into actionable information to resolve customer problems; trends/correlations used in reviews, decision-making, planning  Across organization operational performance data are aggregated with other key data, analyzed, translated into actionable information for short-term improvements (e.g., cycle time, productivity, waste reduction); trends/correlations used in reviews, decision-making, planning 80-60%  Criteria for developing measures, selecting data/information for use in quality, operational performance improvement integrated, used in most of organization  Key data/information relating to many quality, operational performance characteristics provided; purposes of each described; measures relate to goals in quality, operational performance plans in many areas  Processes, technologies used across most of organization to assure that information collected is reliable, consistent, valid, readily accessible  Systematic changes made to improve quality, operational performance in some areas, based on benchmarking/ comparisons with best competitors in the field  Some areas use benchmark/comparison data, including product and service quality, business processes, support services, employee-related activities  Across most of organization quality, customer data are aggregated with other key data, analyzed, translated into actionable information to resolve customer problems; trends/ correlations used in reviews, decision-making, planning  Across most of organization operational performance data are aggregated with other key data, analyzed, translated into actionable information for short-term improvements (e.g., cycle time, productivity, waste reduction); trends/correlations used in reviews, decision-making, planning 60-40%  Criteria for developing measures, selecting data/information for use in quality, operational performance improvement integrated, used in many areas  Key data/information relating to quality, operational performance characteristics provided; purposes of each described; measures relate to goals in quality, operational performance plans in some areas  Processes, technologies used in many areas to assure that information collected is reliable, consistent, valid, readily accessible  Changes made to improve quality, operational performance in a few areas, based on benchmarking/comparisons with average performers in the field  A few key areas use benchmark/comparison data, including product and service quality, business processes, support services  In many areas quality, customer data are aggregated with other key data, analyzed, translated into actionable information to resolve customer problems; trends/correlations used in reviews, decision-making, planning  In many areas operational performance data are aggregated with other key data, analyzed, translated into actionable information for short-term improvements (e.g., cycle time, productivity, waste reduction); trends/correlations used in reviews, decision-making, planning 40-20%  Measures of products/service quality, operational performance developed in some areas  Some key operational performance data/information provided, described  Processes, technologies used in many areas to assure that information collected is reliable  Areas, providers of similar products/services for benchmarking/ comparison identified  In some areas quality, customer data are used to resolve customer problems, and in decision-making, planning  In some areas operational performance data are used for short-term improvements (e.g., cycle time, productivity, waste reduction), and in decision-making, planning 20-0%  Measures of products/service quality/operational performance developed in a few areas  Some data/information provided, described  Reliability checks made on operational performance data in many areas  Beginning of data analysis to support quality improvement  Customer data used in a few areas to resolve problems 3. Strategic Quality Planning 60 points 100-80%  Systematic, well-documented process used across organization to develop quality, operational performance improvement goals; employees, customers, suppliers/intermediaries, other partners full participants in planning process  Planning process data driven; many types of quality, operational performance data/information/analyses used in planning throughout the organization; plans aligned with vision, quality values, customer focus orientation  Quality, operational performance improvement plans, goals deployed across organization, suppliers/intermediaries, key partners; employees know how their work contributes to goals  Systematic procedure used to evaluate planning process; improvements in process made on ongoing basis  Managers, employees held accountable for attaining major goals across organization; quality planning fully integrated with budget process  Quality, operational performance improvement goals focus on key mission-related issues; goals require organization to "stretch"  Improvement goals among top priorities, as shown by extensive resource allocation including education/training, personnel capital equipment, software, other investments  Outstanding improvements projected in product/service quality, key operational areas 80-60%  Systematic, well-documented process used across organization to develop quality, operational performance improvement goals; many employees, customers, suppliers/intermediaries involved in planning process  Many types of quality, operational performance data/ information/analyses used in planning throughout most of organization; plans aligned with vision, quality values, customer focus orientation  Quality, operational performance improvement plans, goals deployed across most of organization, to key suppliers/ intermediaries  Systematic procedure used for evaluating planning process; improvements made regularly  Managers, employees held accountable for attaining major goals in most of organization; quality planning integrated with budget process  Quality, operational performance improvement goals focus on key mission-related issues; goals relatively difficult to achieve  Improvement goals given high priority, as shown by relatively high resource allocation to education/training, personnel, capital equipment, software, other investments  Excellent improvements projected for product/service quality, many key operational areas 60-40%  Systematic process used across organization to develop quality, operational performance improvement goals for key functional areas; some employees, customers, suppliers/intermediaries involved in planning process  Some types of quality, operational performance data/ information/analyses used in planning in many areas; plans aligned with vision, quality values, customer focus orientation  Quality, operational performance improvement plans, goals deployed across many parts of the organization  Procedure for evaluating planning process used; improvements made occasionally  Managers held accountable for attaining major goals in many areas; quality planning linked to budget process  Quality, operational performance improvement goals focus on key mission-related issues; goals require improvement each year  Improvement goals given sufficient priority, as shown by moderate resource allocation for education/training, personnel, capital equipment, software, other investments  Good improvements projected for product/service quality, some key operational areas 40-20%  Quality, operational performance improvement goals, plans established for key functional areas; selected employees, customers, suppliers/intermediaries involved in planning process  Ad hoc improvements made in planning process  Some types of quality, operational performance data/ information used in planning in some areas  Quality, operational performance improvement plans, goals deployed in key functional areas  Managers in key functional areas develop individual unit plans, monitor attainment of major goals; budget process includes consideration of improvement needs; unit level/cross-functional teams assigned responsibility for addressing these needs through improvement projects  Quality, operational performance improvement goals focus on key mission-related issues; goals do not require major change efforts  Some resources allocated for quality, operational performance improvement including education/training, personnel, capital equipment, software, other investments  Noticeable improvements projected for product/service quality, a few key operational areas 20-0%  Some quality, operational performance improvement goals, plans established for some key functional areas  Formal planning process in beginning stages  A few types of quality, operational performance data/ information used in planning in a few areas; customer needs assumed  Quality, operational performance improvement plans, goals deployed in some key functional areas  Managers in some key functional areas develop individual unit plans  Improvement goals, plans address immediate improvement needs  Modest resources allocated for quality, performance improvement; funds primarily for education/training  Improvements projected for quality of a few products/services, operational areas 4. Human Resource Development 170 points and Management 100-80%  Systematic, integrated HR plan develops full potential of workforce; strongly linked to quality, operational performance improvement plans, goals; work redesign, organizational changes made where appropriate; union is partner in development, implementation of plan, where appropriate  Systematic evaluation of HR operations, practices conducted; improvements made on ongoing basis  Variety of involvement mechanisms used across organization for entire workforce to contribute to quality, operational performance improvement goals; innovative practices  Variety of strategies used across organization to increase involvement of workforce; environment supports increased empowerment, personal responsibility, risk-taking, creativity, innovation; plans address sustaining momentum, enthusiasm  Managers support employee contributions, teamwork; routinely exhibit coaching, facilitating behaviors, share authority  Most employees demonstrate strong sense of empowerment in their jobs, ownership of work processes  Employee involvement approaches evaluated; appropriate measures of effectiveness, extent of involvement provided; outstanding levels of attainment, improving trend data; teamwork, employee involvement evident in all units; all grade levels, types of employees included  Systematic, documented education/training strategy based on comprehensive needs assessment, using employee input; covers all grade levels, types of employees across organization  Extensive quality, skills training; employees trained in quality awareness; teams, work groups trained in appropriate quality tools, techniques in support of customer service, continuous improvement; cross-functional training commonplace  Appropriate measures of effectiveness, extent of education/ training provided; outstanding attainment, improving data trends  Variety of formal, informal reward/recognition mechanisms used across organization for all grade levels, types of employees; developed by employees, includes peer recognition; emphasis on recognition of teamwork; strongly linked to quality, operational performance improvement plans, goals  Employees provided feedback; evaluated, promoted, provided career opportunities based on personal development, contributions to quality goals, operational performance improvement goals  Appropriate measures of effectiveness, extent of rewards/ recognition provided; outstanding attainment, improving data trends  Variety of special services provided to improve employee well-being across organization; innovative applications of government personnel policies practiced  Indicators of well-being (e.g., safety records, absenteeism, employee satisfaction/morale) outstanding, improving data trends; trust, respect between management, employees evident 80-60%  Systematic, integrated HR plan; linked to quality, performance improvement plans, goals; work redesign, organizational changes (e.g., reduced levels of management) made in many areas  Systematic evaluation of HR operations, practices conducted, improvements made regularly  Variety of involvement mechanisms used across most of organization for workforce to contribute to quality, operational performance improvement goals  Variety of strategies used across most of organization to increase involvement of workforce; environment supports increased empowerment, personal responsibility, risk-taking, creativity  Managers across most of organization support employee contributions, teamwork; managers exhibit coaching, facilitating behaviors, share authority  Many employees demonstrate increased sense of empowerment in their jobs, ownership of work processes  Employee involvement approaches evaluated; appropriate measures of effectiveness, extent of involvement provided; excellent levels of attainment, improving data trends; teamwork, employee involvement evident in most areas; all grade levels, types employees included in these areas  Systematic, documented education/training strategy based on needs assessment; uses information from managers, employee data bases; covers employees across most of organization  Extensive quality, skills training across most of organization; almost all employees trained in quality awareness; large number of teams/selected natural work groups trained in appropriate quality tools, techniques in support of customer service, continuous improvement; expanded cross-functional training  Appropriate measures of effectiveness, extent of education/ training provided; excellent levels of attainment, improving data trends  Variety of formal, informal reward/recognition mechanisms used across most of organization for all grade levels, types of employees; developed in conjunction with employees; includes peer recognition, recognition of teamwork; linked to quality, operational performance improvement plans, goals  Most employees provided feedback, evaluated, promoted, provided career opportunities based in part on contributions to quality, operational performance improvement goals  Appropriate measures of effectiveness, extent of rewards/ recognition provided; excellent levels of attainment, improving data trends  Variety of special services provided to improve employee well-being across most of organization  Indicators of well-being (e.g., safety records, absenteeism, employee satisfaction/morale) excellent, improving data trends; trust, respect between management, employees evident in most areas 60-40%  Individual HR plans (e.g., involvement, rewards/recognition, education/training) developed, implemented; linked to some quality, operational performance improvement goals; changes made to organizational structure in some areas; work re- design piloted in a few areas  HR operations, practices evaluated, improved occasionally  Variety of involvement mechanisms used in many areas for workforce to contribute to quality, operational performance improvement goals  Variety of strategies used in many areas to increase involvement of workforce; environment supports increased empowerment, personal responsibility, risk-taking  Managers in many areas support employee contributions, teamwork; some managers exhibit coaching, facilitating behaviors, share authority in these areas  Some employees demonstrate increased sense of empowerment in their jobs, ownership in work processes  Employee involvement approaches evaluated; appropriate measures of effectiveness, extent involvement provided; good levels of attainment, improving data trends; teamwork, employee involvement evident in many areas; many grade levels, types of employees included  Documented education/training strategy, based on needs assessment; uses information from managers, employee data bases; covers employees in many areas  Most employees trained in quality awareness; teams/selected work groups trained in appropriate quality tools, techniques in support of customer service, continuous improvement; ongoing skills training  Some measures of extent, effectiveness of education/training provided; good levels of attainment, improving data trends  Variety of rewards/recognition mechanisms used in many areas for range of grade levels, types of employees; includes peer recognition, recognition for teams; linked to quality, operational improvement goals  Many employees given feedback, evaluated, promoted, provided career opportunities based in part on contributions to quality, operational performance improvement goals  Some measures of extent, effectiveness of rewards/recognition provided; good levels of attainment, improving data trends  Special services provided to improve employee well-being in many areas  Indicators of well-being (e.g., safety records, absenteeism, employee satisfaction/morale) good, improving data trends; trust, respect between management, employees growing in many areas 40-20%  Plans developed to support increased employee involvement, increased education/training; loosely tied to quality, operational performance improvement goals  New ways developed for employees to contribute to quality, operational improvement goals; variety of grade levels, types of employees involved; teamwork, group involvement in some areas  Some managers actively involved in teams, support employee contributions  Increased employee empowerment evident in a few areas  Trend data show extent of employee involvement increasing  Many employees trained in quality awareness; some employees trained in quality tools, techniques; ongoing skills training  Trend data show extent of education/training increasing  Rewards/recognition used in some areas; rewards/recognition primarily for individual effort, some teams also recognized; loosely tied to quality, operational performance improvement goals  Employee feedback, performance management loosely linked to quality, operational performance improvement goals  Trend data show extent of rewards/recognition increasing  Special services provided for employee well-being in some areas  Improving trend data provided for a few indicators of well- being 20-0%  Employee involvement evident in a few areas  Managers in a few areas involved in improvement teams, beginning to involve employees; employees ideas/suggestions solicited, used  Trends in number of employees involved with teams, suggestion system increasing  Some employees trained in quality awareness; a few employees trained in quality tools, techniques; training offered upgrade technical skills  Trends in number, grade levels, types of employees trained increasing  Some rewards, recognition focused on quality achievements  Number of individuals/teams recognized for quality is low, although trends show increase for a few areas  Health, safety, well-being of the workforce reviewed, improvements made 5. Management of Process Quality 140 points 100-80%  New, improved products/services, processes designed to exceed customer expectations; measurement systems track process performance across organization  Designs reviewed, validated based on variety of performance, capability considerations across organization  Quality systems across organization updated to keep pace with changes in technology, other capabilities  Methodologies used across organization to continuously improve processes by reducing statistical variability  Key production, delivery processes managed across organization to meet design plans  Requirements/expectations for production, delivery processes clearly articulated, communicated across organization; internal suppliers consistently meet/exceed internal customers' requirements/expectations using feedback/complaints; information, assistance made readily available to internal customers throughout organization  Appropriate analytic tools used across organization to identify, solve problems that significantly disrupt production, delivery processes; corrections systematically verified  Key business processes, support services managed across organization to meet customer, quality, operational performance requirements  Requirements/expectations for business processes, support services clearly articulated, communicated across organization; internal suppliers consistently meet/exceed internal customers' requirements using feedback/complaints; information, assistance made readily available to internal customers throughout organization  Appropriate analytic tools used across organization to identify, solve problems that significantly disrupt business processes, support services; corrections systematically verified  Quality requirements defined across organization for selection of suppliers; requirements systematically communicated to suppliers/intermediaries  Quality is primary consideration when selecting suppliers  Systematic approaches used across organization to assure quality requirements are met by suppliers/intermediaries  Comprehensive assessments of quality, performance of key systems, processes, practices and quality of key products/ services performed across organization  Assessment findings used to improve most key products/ services, systems, processes, practices, quality requirements for suppliers/intermediaries 80-60%  New, improved products/services, processes designed to meet customer expectations; measurement systems track process performance across most of organization  Designs reviewed, validated based on some performance, capability considerations across most of organization  Quality systems across most of organization updated to keep pace with changes in technology, other capabilities  Methodologies used across most of organization to continuously improve processes by reducing statistical variability  Key production, delivery processes managed across most of organization to meet design plans  Requirements/expectations for production, delivery processes clearly articulated, communicated across most of organization; internal suppliers consistently meet/exceed internal customers' requirements using feedback/complaints; information, assistance made readily available to internal customers throughout most of organization  Appropriate analytic tools used across most of organization to identify, solve problems that significantly disrupt production, delivery processes; corrections systematically verified  Key business processes, support services managed across most of organization to meet customer, quality, operational performance requirements  Requirements/expectations for business processes, support services clearly articulated, communicated across most of organization; internal suppliers consistently meet/exceed internal customers' requirements using feedback/complaints; information, assistance made readily available to internal customers throughout most of organization  Appropriate analytic tools used across most of organization to identify, solve problems that significantly disrupt business processes, support services; corrections systematically verified  Quality requirements defined across most of organization for selection of suppliers; requirements systematically communicated to suppliers/intermediaries  Quality is important consideration when selecting suppliers/ intermediaries  Systematic approaches used across most of organization to assure quality requirements are met by suppliers/intermediaries  Comprehensive assessments of quality, performance of key systems, processes, practices and quality of key products/ services performed regularly across most of organization  Assessment findings used to improve most key products/ services, systems, processes, practices, quality requirements for suppliers/intermediaries 60-40%  New, improved products/services, processes designed to meet customer requirements; measurement systems track process performance in many areas  Designs take into account performance, capability considerations in many areas  Quality systems in many areas updated to keep pace with changes in technology, other capabilities  Methodologies used in many areas to continuously improve processes by reducing statistical variability  Key production, delivery processes managed in many areas to meet design plans  Requirements/expectations for production, delivery processes clearly articulated, communicated in many areas; internal suppliers usually meet internal customers' requirements using feedback/complaints; information, assistance made readily available to internal customers in many areas  Appropriate analytic tools used in many areas to identify, solve problems that significantly disrupt production, delivery processes; corrections verified  Key business processes, support services managed in many areas to meet customer, quality, operational performance requirements  Requirements/expectations for business processes, support services clearly articulated, communicated in many areas; internal suppliers usually meet internal customers' requirements using feedback/complaints; information, assistance made readily available to internal customers in many areas  Appropriate analytic tools used in many areas to identify, solve problems that significantly disrupt business processes, support services; corrections verified  Quality requirements defined in many areas for selection of suppliers; requirements communicated to suppliers/ intermediaries  Quality is considered when selecting suppliers  Approaches used in many areas to assure quality requirements are met by suppliers/intermediaries  Assessments of quality, performance of key systems, processes, practices and quality of key products/services performed occasionally in many areas  Assessment findings used to improve some key products/ services, systems, processes, practices, quality requirements for suppliers/intermediaries 40-20%  New, improved products/services, processes designed to meet customer requirements; measurement systems track process performance in some areas  Designs take into account performance, capability considerations in some areas  Quality systems in some areas updated to keep pace with changes in technology, other capabilities  Methodologies used in some areas to continuously improve processes by reducing statistical variability  Key production processes managed in some areas to meet design plans  Requirements for production, delivery processes defined, communicated in some areas; internal customer-supplier relationships, feedback systems being developed in some areas  Analytic tools used in some areas to identify, begin to solve problems that significantly disrupt production, delivery processes  Key business processes, support services managed in some areas to meet some customer, quality, operational performance requirements  Requirements for business processes, support services defined, communicated in some areas; internal customer- supplier relationships, feedback systems being developed in some areas  Analytic tools used in some areas to identify, begin to solve problems that significantly disrupt business processes, support services  General quality considerations added to traditional management of supplier/intermediary relationships  Beginning to define specific quality requirements for suppliers/ intermediaries  Quality secondary consideration after cost when selecting suppliers  Some areas collecting data on supplier/intermediary performance  Assessments of quality, performance of key systems, processes, practices and quality of key products/services performed as needed to maintain systems in some areas  Assessment findings used to improve some key products/ services, systems, processes, practices 20-0%  New, improved products/services designed to meet internally developed specifications  Systematic approach to process management in planning stages; inspection remains primary tool of quality control  Traditional management of supplier/intermediary relationships being reviewed  Quality assessments conducted in a few areas; some improvements made based on findings 6. Quality and Operational Results 180 points 100-80%  Key measures of product/service quality demonstrate exceptional results over past 5 years  Current levels of product/service quality are comparable to recognized leaders for similar activities  Key measures of operational performance demonstrate exceptional results over past 5 years  Current levels of operational performance are comparable to recognized leaders for similar activities  Key performance measures for most business processes, support services demonstrate exceptional results over past 5 years  Current performance levels for most business processes, support services are comparable to recognized leaders for similar activities  Quality performance of major suppliers/intermediaries improving over past 5 years 80-60%  Key measures of product/service quality demonstrate excellent results over past 4 years  Current levels of product/service quality compare favorably with best competitors in the field  Key measures of operational performance demonstrate exceptional results over past 4 years  Current levels of operational performance compare favorably with best competitors in the field  Key performance measures for most business processes, support services demonstrate exceptional results over past 4 years  Current performance levels for most business processes, support services compare favorably with best competitors in the field  Quality performance of major suppliers/intermediaries improving over past 3 years 60-40%  Key measures of product/service quality demonstrate good results over past 3 years  Current levels of product/service quality compare favorably with average performers in the field  Key measures of operational performance demonstrate exceptional results over past 3 years  Current levels of operational performance compare favorably with average performers in the field  Key performance measures for some business processes, support services demonstrate exceptional results over past 3 years  Current performance levels for some business processes, support services compare favorably with average performers in the field  Quality performance of major suppliers/intermediaries improved over last 2 years 40-20%  Measures of product/service quality improving  Measures of operational performance quality improving  Quality performance of some suppliers/intermediaries at acceptable levels 20-0%  Anecdotal evidence of improvement  Measures of product/service quality do not demonstrate consistent improvement trends  Measures of operational performance quality do not demonstrate consistent improvement trends  Quality performance of suppliers/intermediaries inconsistent 7. Customer Focus and Satisfaction 250 points 100-80%  Methods used to obtain knowledge of customer requirements/ expectations elicit comprehensive set of quality features for products/services  Comprehensive, documented system for determining customer requirements/expectations used across organization; evaluated, improved on ongoing basis  Most processes/transactions that bring employees in contact with customers identified; most key requirements for maintaining relationships determined; most quality indicators derived from these requirements  Service standards aimed at exceeding customer expectations; deployed to all relevant employees, tracked by relevant units; customer service standards reviewed, revised  Information readily accessible information to all customers to enable them to seek assistance, comment, complain  Effective feedback systems provide knowledge from customers about products/services/recent transactions; is provided to appropriate units for action  Data from customer feedback systems aggregated, evaluated, used across organization; teams, customer- contact employees respond to complaints  Variety of effective means convey commitments to customers; commitments drive day-to-day decisions concerning handling of complaints, comments  Comprehensive set of approaches used to determine customer satisfaction with products/services, their delivery  Methods for determining customer satisfaction evaluated, improved on ongoing basis  Key customer satisfaction results sustained at very high level, consistent improvement each year for last 5 years  Performance measure comparisons provided for those of similar providers; relative ratings outstanding; ratings from outside organizations confirm this 80-60%  Methods used to obtain knowledge of customer requirements/ expectations elicit important set of quality features for most products/services for major customer groups  Documented system for determining customer requirements/ expectations used across most of organization; evaluated, improved regularly  Many processes/transactions that bring employees in contact with customers identified; many key requirements for maintaining relationships determined; many quality indicators derived from these requirements  Service standards based on customer expectations; deployed to relevant employees, tracked by their units; standards reviewed, revised regularly  Information readily accessible to major customer groups to enable them to seek assistance, comment, complain  Feedback systems provide knowledge from customers about most products/services/recent transactions; provided to appropriate units for action  Data from customer feedback systems aggregated, evaluated, used in most of organization; managers, customer contact employees respond to complaints  Organization conveys commitments to customers concerning key products/services; these commitments used in decisions concerning handling of complaints, comments  Variety of formal/informal mechanisms used to determine customer satisfaction for key products/services, their delivery  Methods for determining customer satisfaction for key customer groups evaluated, improved regularly  Key customer satisfaction results sustained at high level, data trends improving over last 4 years  Performance measure comparisons and/or other external information demonstrate excellent performance 60-40%  Methods used to obtain knowledge of customer requirements/ expectations elicit important quality features for many products/ services for major customer groups  Documented system for determining customer requirements/ expectations used across most of organization; evaluated, improved occasionally  Some processes/transactions that bring employees in contact with customers identified; some key requirements for maintaining relationships determined; some quality indicators derived from these requirements  Service standards based on customer requirements; deployed to, tracked by relevant units; standards reviewed, revised occasionally  Information readily accessible to most major customers to enable them to seek assistance, comment, complain  Feedback systems provide knowledge from customers about many products/services, recent transactions; provided to some units for action  Data from customer feedback systems aggregated, evaluated, used in many units; managers often responsible for immediate response to complaints  Organization conveys major commitments to customers concerning some key products/services; commitments used in decisions concerning handling of complaints, comments  Customer satisfaction determined for most key products/ services, their delivery  Methods for determining customer satisfaction evaluated, improved occasionally  Key customer satisfaction results at a good level; trends positive over last 3 years  Performance measure comparisons and/or other external information demonstrate good performance 40-20%  Methods used to obtain knowledge of customer requirements/ expectations elicit some quality features for some products/ services  System for determining customer requirements/expectations used in some units  Relationship established with major customers; key customer transactions identified; key customer transaction requirements determined  Service standards based on assumptions about customer requirements; tracked by some units  Information provided to some customers to enable them to seek assistance, comment, complain  Feedback systems provide knowledge from customers about some products/services, recent transactions being implemented  Data from customer feedback systems analyzed, used for corrective actions in some units; complaints one of several sources of feedback used  Organization beginning to develop its commitments to customers concerning key products/services  A few different methods used to determine customer satisfaction for many of key products/services, their delivery  Methods for determining customer satisfaction documented  Current level of customer satisfaction acceptable; no adverse trends 20-0%  Many areas identified customers, begun obtaining knowledge of customer requirements  System for determining customer requirements/expectations planned  Major customer transactions identified; requirements for maintaining good relations studied  Organization has some means for customers to seek assistance, comment, complain  Feedback systems provide knowledge from customers about products/services, recent transactions  Customer feedback used for corrective actions in a few areas; formal, informal complaints are major method for obtaining feedback  Organization tries to make good on errors in dealing with customers  Methods for determining customer satisfaction planned  Anecdotal evidence of customer satisfaction VI. NOMINATION FORM Applicant Organization Name Address Highest Ranking Official in Applicant Organization Signature Name Title Address Telephone FAX Size of Organization Number of Employees (list Federal employees and contract support employees separately) Number of Sites Budget for Preceding Year (circle one) 0-$1M $10M-$100M $500M-$1B $1M-10M $100M-$500M Over $1B List Sites Official Point of Contact in Applicant Organization Name Title Address Telephone FAX Agency Coordinator (as described in Section II, Application Instructions) Signature Name Title Address Telephone Date