Blue Book 2002

The Connecticut Award for Excellence A road map for achieving and recognizing organizational excellence Application Forms and Instruction Booklet Revised September, 2002 One of the lasting legacies of my friend and mentor, Malcolm Baldrige, is the National Quality Award, named after him. Here in Connecticut, we celebrate parallel hallmarks of quality innovation via our own Connecticut Award for Excellence, although our award focuses on both the private and public sectors. The economic vitality of Connecticut can be traced directly to an extraordinary heritage of Yankee ingenuity - a heritage that was unwittingly based upon the very attributes celebrated by this coveted award. By focusing attention on our Connecticut Award for Excellence, I believe that our state government can help to catalyze and nurture the shift to higher-quality products and a dedication to genuine customer service. Our guiding principle for the 21st century must be a commitment to consciously and continually improve both services and products. In particular, the Rowland administration is committed to re-evaluating and fundamentally refocusing the delivery of public-sector services. I encourage you to consider the methodology used to determine our award winners as a valuable self-assessment tool. Lastly, I urge you and every publicsector agency to recommit yourself to the pursuit of improved competitiveness, service, and quality. INTRODUCTION ..........................................................................................................1 DESCRIPTION OF THE AWARD ...............................................................................2 AWARD LEVEL CHECK LIST ....................................................................................5 PROCESS and SCHEDULE ..........................................................................................6 ELIGIBILITY CATEGORIES and RESTRICTIONS ....................................................7 AWARD FEES ................................................................................................................8 ELIGIBILITY DETERMINATION FORM INSTRUCTIONS .....................................9 ELIGIBILITY DETERMINATION FORM ...................................................................11 APPLICATION REPORT - INSTRUCTIONS .............................................................13 SITE LISTING and DESCRIPTORS FORM INSTRUCTIONS ...................................15 SITE LISTING and DESCRIPTORS FORM ................................................................17 APPLICATION PACKAGE CHECKLIST ...................................................................19 i ii INTRODUCTION Definition The Connecticut Award for Excellence is a service dedicated to the promotion of organizational excellence in the state of Connecticut. Yearly awards are available to recognize state organizations in the private, governmental, health care, and educational sectors that are able to achieve outstanding results through the application of best management principles and practices. The award process involves the use of a set of guidelines or criteria based on the Malcolm Baldrige National Quality Award (MBNQA) for assessing organizational excellence; an examination process resulting in valuable feedback reports to applicants; and public recognition for those organizations demonstrating the highest levels of excellence. Purpose The Connecticut Award for Excellence exists to promote the awareness of, adoption and use of proven principles and practices to assist Connecticut organizations in their continuous-improvement journeys. The Award recognizes interdependencies among critical components of our state economic infrastructure: Private Business, Government, Health Care, Education, and Labor, and promotes partnerships and the exchange of management strategies and programs among these components. The Award Criteria The Connecticut Award for Excellence uses the latest Baldrige criteria for all its award levels. These criteria are published for the Malcolm Baldrige National Quality Award by the American Society for Quality. See page 19 for ordering information. Benefits of Participating Gaining a competitive edge to assure survival and to thrive are the primary goals of organizations that commit to the pursuit of excellence. As a participant in the Connecticut Award for Excellence program you can expect to receive a variety of immediate and longer-term benefits, including: • Obtain the necessary education and training to bring your organization’s awareness of management principles and practices to a competitive level. Accelerate your ability to improve your products, services, internal process, and organizational capabilities. Improve your ability to analyze business processes from a feedback report identifying strengths, as well as areas which need improvement. Receive public recognition for your efforts and achievements at a special recognition ceremony. Obtain the use of the Connecticut Award for Excellence distinction in your advertising and correspondence Pursue the opportunity to benchmark your management systems/approaches with others. Increase customer loyalty by showing your commitment to quality. Gain understanding of the Malcolm Baldrige National Quality Award criteria. Receive comprehensive business practices assessments from management and quality professionals. Receive free Examiner Training. • • • • • • • • • 1 DESCRIPTION OF THE AWARD The Connecticut Award for Excellence: Recognizing and promoting genius and ingenuity Throughout the history of the United States, Connecticut has been in the forefront of innovation and change. Though our past achievements have been recognized nationally and internationally, we must now chart a new course to compete in the global economy and to meet the challenge of the 21st century. The Connecticut Award for Excellence maps this course and helps Connecticut to continue to position itself as a leader through the practice of best management principles, the further development of cooperative partnerships, and closer collaboration between the public, private and labor sectors. The forerunner of this initiative, the Malcolm Baldrige National Quality Award, was named after the late U.S. Secretary of Commerce, a former Connecticut resident. Although it served as a significant impetus to the quality movement in this country, the Baldrige Award has focused on the private sector. In contrast, the Connecticut Award for Excellence recognizes interrelationships between critical components of our economy’s infrastructure: Health Care, Education, Labor, Business, and Government. The development of this award is the result of efforts in many arenas, including the legislative and executive branches of government, the private sector, the Connecticut Quality Council, and labor/management initiatives. The partnership of these sectors, built from the abilities and commitment of a diverse, skilled workforce, is critical to our success. Connecticut organizations will benefit from measuring their operations against high performance standards in program, product, service, and workforce quality. The Connecticut Award for Excellence will strengthen our position in the global economy by: • • • • Underscoring the vital role of labor/management collaboration in continuousimprovement efforts. Demanding productivity from high-performance work teams. Promoting partnerships between Health Care, Education, Labor, Business, and Government. Encouraging dramatic organizational reengineering and the reinventing of work processes. Description of Award Levels The Connecticut Award for Excellence features three levels of recognition: Nutmeg, Charter Oak and Genius. The Nutmeg and Charter Oak levels were added to the award process in 1996 as introductory and mid-level steps to the Genius level. This modification was made to provide a system of progressive steps for organizations to follow in addressing the comprehensive and demanding nature of the full criteria. By adopting the additional levels, the Award is able to provide recognition and useful feedback to organizations that are in the early and developing stages of their journeys to total quality and organizational excellence. The concept of the three levels for the Award is rooted in one of the quality basics, the PLAN, DO, CHECK, ACT cycle or Shewhart Cycle. Similarities may be drawn between the P, D, C, A segments of the above cycle and the Approach, Deployment, Results, and Continuous Improvement terms of the Award Criteria. The descriptions that follow list the features and requirements of each level and explain how each relates to the P, D, C, A Cycle. • • • Promoting continuous-improvement efforts and practices. Recognizing superior organizational achievement. Recognizing the exchange of management strategies and programs between critical components of our state infrastructure. Figure 1 2 DESCRIPTION OF THE AWARD Level 1 - Nutmeg Recognition Organizations applying at the Nutmeg level will be able to provide evidence that a serious commitment has been made to the adoption of total quality principles and practices. Primary emphasis at this level is placed on the sound, systematic approaches an organization has devised to address the criteria items listed in Tables 1 through 3. “Approach” refers to the method(s) an applicant uses to address the item requirements. In the PDCA Cycle, (Fig. 2) “Approach” relates to the Plan segment since the “how to”s or methods for addressing item requirements are, in effect, a plan of action. health care or educational value and organizational performance improvement. Participants at this level are provided support for their improvement efforts toward the next level of achievement through a feedback report summarizing the examiners’ findings on how the organization’s approach measures up to the criteria. If possible, all applicants will receive a site visit by a team of examiners. The number of awards available at this level of application is not limited. Level 2 - Charter Oak Recognition Organizations applying at the Charter Oak level will be able to meet all requirements listed for the Nutmeg level; be able to report significant progress in deploying best management approaches and practices to all parts of the organization; and be able to document with data, results in the most significant measures chosen by the applicant to track the progress and effectiveness of its approaches. In the PDCA cycle, approach and deployment relate to the “Plan” and “Do” segments of the cycle while results relate to the “Check” segment, (Fig. 3). In performing the “check” function, organizations will find it necessary to have a family of measures identified that allows tracking of their key business drivers. Figure 2 An application at this level must include an overview of the business/ organization, not to exceed four pages; the signature of the senior executive indicating his or her commitment; and an application report, not to exceed 25 pages, that describes how the organization is applying the criteria items listed on page 14 for the Nutmeg level. In addressing the requirements of the six approach-deployment categories listed in Tables 1 through 3, the applicant should further substantiate that: 1) The delivery of ever-improving value to customers (or health-care patients, students, etc.), along with organizational success is the heart of the organization’s quality framework. 2) The organization’s product, service, and process systems are well defined and well designed for meeting customer, patient, or student performance requirements. 3) Measures of progress are identified to provide a results-oriented basis for channeling actions and delivering ever-improving value and superior organizational performance. 4) The senior leadership of the organization sets directions, values, goals, and systems, and reviews and guides the pursuit of customer, 3 Figure 3 An application at this level must include an overview of the business/ organization, not to exceed four pages; the signature of the senior executive indicating his or her commitment; and an application report, not to exceed 40 pages, that describes how the organization is applying, deploying, and measuring results in the seven criteria categories to the level of “Areas to Address.” DESCRIPTION OF THE AWARD An application at this level will describe sound, systematic approaches with key measures responsive to the primary purposes of the six approach-deployment categories; the extent of deployment of these approaches to all major and appropriate parts of the organization; and current results for its key measures in the five areas of the results category. The criteria to be addressed are listed on in Tables 1 through 3 for the Charter Oak level. Participants at this level are provided support for their improvement efforts toward the next level of achievement through a feedback report summarizing the examiners’ findings on how the organization’s approach, deployment, and current results measure up to the criteria. At the judges’ option, the applicant may receive a site visit by a team of examiners. The number of awards available at this level is not limited. Level 3 - Genius Award Organizations applying for the Genius Award will be able to meet all requirements listed for the Charter Oak level; describe fact-based improvement processes for key approaches; and document with data, results in key measures chosen by the applicant showing progress and the effectiveness of its approaches through continuous improvement cycles. In the PDCA cycle, “approach,” “deployment,” “results” and “evaluation and improvement” relate to all four segments of the cycle, (Fig. 4) Applications at this level will be able to substantiate cycles of improvement through trend data that shows the results of improvement actions taken. An application at this level must include an overview of the business/ organization, not to exceed four pages; the signature of the senior executive indicating his or her commitment; and an application report, not to exceed 50 pages, that describes how the organization is applying, deploying, and measuring the extent of all seven categories’ Areas to Address. An application at this level will describe sound, systematic approaches with key measures responsive to the primary purposes of the six approach-deployment categories; the extent of deployment of these approaches to all major and appropriate parts of the organization; and trend and comparative results demonstrating continuous improvement for its key measures in the five areas of the results category. Participants at this level are provided support for their improvement efforts toward continuing higher levels of achievement through a feedback report summarizing the examiners’ findings on how the organization’s approach, deployment, and trend and comparative results measure up to the criteria. At the judges’ option, the applicant may receive a site visit by a team of examiners. The number of awards available at this level is not limited. Role Model Determination The CAFE Awards Administrator is responsible for determining that an applicant would be an appropriate role model and therefore should be approved for CAFE recognition. The purpose of this determination is to help insure the integrity of the Award. For the role model determination, CAFE conducts records checks on potential Award recipients. These checks, which are done through the Connecticut Department of Administrative Services, are intended to ensure compliance with legal and regulatory requirements. Figure 4 4 AWARD LEVELS CHECKLIST Genius Charter Oak Nutmeg Eligibility Form with $100 Fee Due Sept. 15 (to be examined during the regular cycle). Can be submitted any time during the year. $500/$1000 Depending on organization size 5 page limit 25-page limit: approaches and key measures response All Feedback report includes full evaluation, scoring range and comments Awards Ceremony and publicity unlimited; all qualified Applications due Dec. 1 (or 2 ½ months after Eligibility Form is submitted) Due Sept. 15 Due Sept. 15 Application Fee $700/$1500 Depending on organization size 5 page limit 40-page limit: approaches, deployment, and current results response Judges’ discretion Feedback report includes full evaluation, scoring range and comments Awards Ceremony and publicity unlimited; all qualified Applications due Dec. 1 $1500/$3000 Depending on organization size 5 page limit 50-page limit: full criteria response Organizational Overview Assessment Criteria (page limit) Site Visit Feedback Reports Judges’ discretion Feedback report includes full evaluation, scoring range and comments Awards Ceremony and publicity unlimited; all qualified Applications due Dec. 1 Recognition Number of Recipients Awards Schedule 5 PROCESS and SCHEDULE Step 1. 2. 3. 4. 5. 6. 7. 8. 9. Submit Eligibility Determination Form & processing fee Eligibility review and reply to applicant Deadline for application to be received by CAFE Review of application by examiners and judges Examiner visit to applicant’s site(s), if appropriate Final review and recommendation by Judges Feedback report to applicant Recognition ceremony Feedback from applicants to CAFE Schedule September 15 October 1 December 1 December through February March through April April May May or June June 6 ELIGIBILITY CATEGORIES and RESTRICTIONS 1. Basic Eligibility The Connecticut Award for Excellence is available for Connecticut organizations engaged in five sectors. These sectors are Manufacturing, Service, Education, Health Care and Public. Within each sector the Award categories are subdivided into small/medium and large organizations. In all sectors, small/medium is defined as 1-300 employees. Large is defined as 300 or more employees. 2. Award Eligibility Categories • Private Sector - Manufacturing: Companies or subsidiaries that produce and sell manufactured products or manufactured processes, and those companies that produce agricultural, construction, or mining products. Private Sector - Service: Companies or subsidiaries that sell service. The proper classification of companies that perform both manufacturing and service is determined by the largest percentage of sales. Education: Organizations or subsidiaries that deliver education services to the residents of the State of Connecticut. The services provided must be in the category of education and/or training. Applicants in this sector must address the MBNQA Education Criteria for Performance Excellence. Health Care: Companies or subsidiaries that provide health care services to the residents of Connecticut. These services must be delivered within the State of Connecticut and the organization must have been active for a minimum of one year. Applicants in this sector must address the MBNQA Health Care Criteria for Performance Excellence. Public: The term “public sector” means: 1) state, city, or any other political or civil division of the state, public authority, commission, or public benefit corporation; or 2) any other public corporation, agency or unit of government that exercises governmental powers under the laws of the state for at least one year. 3. Subsidiaries For purposes of the Connecticut Award for Excellence, a subsidiary means an actual subsidiary, business unit, division, or district office. The subsidiary must have a clear definition or organization and function relatively independent from the parent organization, but may receive policy-level direction and oversight from the parent organization. An organizational unit with its own administrative, human resources, legal, and other support functions is eligible, while a unit that is entirely dependent on the parent organization for the majority of these functions is not eligible. Subsidiaries of eligible organizations may apply if they primarily service either the public or businesses other than the parent organization, and if they meet certain size and business activity-level requirements. 4. Multiple Applications and Restrictions • • • A subsidiary and its parent organization may not both apply for the Awards in the same year. Other subsidiaries of the same parent organization are not eligible to apply. If an organization receives a Genius Award, the organization will be ineligible to apply for any other Award for a period of five years. If a subsidiary receives a Genius Award, it is ineligible to apply for another five years. • • • • • 7 AWARD FEES Eligibility Determination Form Fee The fee is $100 for all potential applicants and is non-refundable. This fee is due along with the Eligibility Determination Form. Payment of Fees Payment will be by check or money order. Checks should be payable to: Connecticut Award for Excellence Confidentiality Names of applicants, individual applications, commentary and scoring information and the results of records checks developed during the review of applications are regarded as proprietary and are kept confidential. Such information is available only to those individuals directly involved in the evaluation and application distribution processes. Board of Examiner members are assigned to applications following strict conflict-of-interest rules and receive no information regarding the content or status of applications to which they are not assigned (see Board of Examiners, Page 17). Information on successful strategies of Award recipients and other applicants may be released only with written approval of the applicant. *Application and site-visit fees may be adjusted for K-12 school systems. Application Fees * Each applicant that is eligible shall pay fees as follows: Nutmeg level Large organizations of more than 300 employees will pay a $1000 application fee. All other organizations will pay a $500 application fee. Charter Oak level Large organizations of more than 300 employees will pay a $1500 application fee. All other organizations will pay a $700 application fee. Genius level Large organizations of more than 300 employees will pay a $3000 application fee. All other organizations will pay a $1500 application fee. Site-Visit Fees * Applicants will be asked to cover examiners’ travel expenses 8 General Instructions Type or clearly print all information requested. The Eligibility Determination Form may be duplicated and single-sided pages submitted, or the same information may be provided in word processor format. Applicants must submit a copy of the approved Eligibility Determination Form (Page 13) with each copy of the Application Report submitted. Form Instructions Item 1 - Applicant Provide the Official name and mailing address of the organization applying for the Award. Item 2 - Applicant Description Provide a one-page, general overview of the applicant’s organization. Item 3 - Highest-Ranking Official Provide name, title, mailing address and telephone number of the applicant organization’s highestranking official. Item 4 - Size of Applicant Give the estimated number of employees of the applying unit as of the date the application will be submitted. Item 5 - Organization Unit Designation If the applying organization is a component of a larger organization, then information about the parent organization and the highest-ranking official of the parent organization must be supplied. Item 6 - Award Category Based on eligibility discussed on Page 7, indicate which one of the five Award Categories pertains. Item 7 - Award Level Identify the level of recognition you are seeking: Level 1 - Nutmeg Level 2 - Charter Oak Level 3 - Genius Item 8 - Description of Programs and Services Provided In the space provided, describe the types of programs and services provided by the applicant. Item 9 - Official Inquiry Point As the examination proceeds, the Administrator may need to contact the applicant for additional information. Give the name, address and a telephone number of the official with authority to provide additional information or to arrange a site visit. If the official contact point changes during the course of the application process, please notify the CAFE Awards Administrator. Item 10 - Fees Enclose $100 to cover the eligibility determination fee. Item 11 - Release Statement Please read this section carefully. A signed Application indicates that the applicant agrees to the terms and conditions stated therein. Item 12 - Authoring Official The signature of the applicant organization’s highestranking management official or designee is required and indicates the applicant will comply with the terms and conditions stated in the documennt. 9 10 CAFE ELIGIBILITY DETERMINATION FORM 1) APPLICANT Organization Name ______________________________________________________________________ Mailing Address _________________________________________________________________________ ______________________________________________________________________________________ 2) APPLICANT DESCRIPTION (attached) 3) HIGHEST-RANKING OFFICIAL Name: ______________________________________________ Title: ___________________________ Mailing Address: _______________________________________________ _____________________________________________________________ _____________________________________________________________ 4) SIZE OF APPLICANT Total Number of Employees: _____________________________________ 5) ORGANIZATIONAL UNIT DESIGNATION (circle one) Is applicant a unit, division or like organization of the parent organization? No (go to Item 6) Yes (continue) Parent Organization: _____________________________________________________________________ Mailing Address: ________________________________________________________________________ Highest-Ranking Official: ________________________________ Title: ___________________________ Telephone Number: _____________________________________________________________________ 6) AWARD CATEGORY (circle one) Small/Medium Manufacturing Service Health Care Public Education: K-12 Education: College 7) AWARD LEVEL (circle one) 1-300 1-300 1-300 1-300 1-300 1-300 Nutmeg (continued) Large 300+ 300+ 300+ 300+ 300+ 300+ Charter Oak Genius 11 8) DESCRIPTION OF PROGRAMS AND SERVICES PROVIDED 9) OFFICIAL INQUIRY POINT Name _______________________________________________ Title ___________________________ Mailing Address _________________________________________________________________________ OVERNIGHT Mailing Address _________________________________________________________________________ Telephone Number ______________________________________________________________________ Telefax Number _________________________________________________________________________ 10) FEE (See Instructions) Enclosed is $100 to cover the Eligibility Determination Fee. (Make check payable to: Connecticut Award for Excellence) 11) RELEASE STATEMENT We understand that this application will be reviewed by members of the Board of Examiners. Should our organization be selected for one or more site visits, we agree to host the site visit(s) and to facilitate an open and unbiased examination. We understand that site visit expenses will be determined in accordance with the section Award Fees. We also understand that selection for recognition is contingent upon CAFE’s role model determination process which may involve records checks of the applicant by the State of Connecticut. 12) SIGNATURE, AUTHORIZING OFFICIAL X ____________________________________________ Name _________________________________________ Date _________________________________ Title __________________________________ Telephone Number ________________ Mailing Address _______________________________________ ___________________________________________________________________ 12 1. Requirements Each applicant must submit an Application Report consisting of: (1) An Organizational Profile. (2) Responses to the Examination Criteria. (3) Site Listing and Description, if appropriate. 2. Preparation of the Organizational Profile The Organizational Profile is a five-page (maximum) summary that describes significant factors to be considered in the evaluation of an application. It is intended to “set the stage” for the Examiners. 3. Responses to the Examination Criteria The Examination Criteria are contained in the latest Baldrige (Education, Health Care) Criteria for Performance Excellence Booklet. Read the entire Criteria Booklet to understand the orientation of the Criteria and how responses are evaluated. The Criteria requirements and page limits for each Award are as follows: Award Nutmeg Recognition Charter Oak Recognition Genius Award Notes: Criteria Response Categories 1-6: Items and Areas to Address All Categories, Items, and Areas to Address All Categories, Items, and Areas to Address Page Limit 25 40 50 Type should be a font of 10 or 12 point (we recommend Helvetica or Times). There should be no more than 60 lines of type per page. A two-column format is preferred. Pages may be printed on both sides. Type on pages including pictures, graphs, data tables and appendices must also meet these requirements for size and spacing. 5. Organization of Responses to Examination Criteria Responses to Examination Criteria should be organized as follows: • Respond to each Examination Item as a whole. To facilitate review by the Board of Examiners, address the set of Areas in the order given in the Items. • Applicants should denote responses to Areas with the letters a, b, c, etc., and numbers a(1), a(2), etc. corresponding to each Area and subArea. If an Area does not pertain to the Applicant’s organization or quality system, the applicant must provide a statement of one or two sentences explaining why the Area is not applicable. This statement should be given at the end of the overall response to the Item, and the Item/Area designator, as described above, should be used. Note: If an Item/Area is not required for the Application Award Level (as indicated in the applicable Criteria information – Table 1, 2, or 3), it is not necessary to list the number or letter designations. 1) Pictures, graphs, figures, data tables and appendices must be included in the above-stated page limits. 2) Though not required, the use of a labeled section tables and glossaries of terms and abbreviations would be appreciated. In all cases Organizational Overviews, dividers, covers, tab separators, glossaries, title pages and table of contents do not count toward page limits. 4. Format for the Application Report Typing Instructions The Application Report should: • Contain the same Category and Item numerical designations as in the Award Examination. • Contain a table of contents with the page number of each Category and Item as applicable for Award Level. • Be typed on standard 8 1/2 x 11-inch paper. 13 6. Document Assembly A complete Applicant report should include the following components: (1) Title Page (2) Eligibility determination Form (3) Site Listing and Descriptor Form(s) (4) Table of Contents (5) Organizational Profile (6) Categories/Items/Areas [1.1a, 1.1a(2), etc.] Note: The Application Form does not include an abstract of the Application Report. All components of the Application Report should be securely bound. Video and audio tapes and other information aids are not permitted. TABLE 1 Connecticut Award for Excellence 2002 MBNQA BUSINESS CRITERIA FOR PERFORMANCE EXCELLENCE Criteria Applicable to Each Award Level for 2003 CAFE Awards INSTRUCTIONS: Look in the column below for the Award level at which you are applying. Note which Criteria you do not need to address in your application (first row) and what the examiners will be looking for (second and third rows). See the Notes below and your Criteria and instruction booklets for explanation of these items. AWARD LEVEL AREAS TO ADDRESS NUTMEG 1.1b(2), 1.1b(3), 3.1a(3), 3.2a(4), 3.2b(4), 4.1a(4), 4.2a(3), 4.2b(2), 5.3b(4), 6.1b(5), 6.2a(6), 6.3a(7), and all of Category 7. It is not necessary to address deployment or comparisons in any item.  CHARTER OAK 1.1b(2), 1.1b(3), 3.1a(3), 3.2a(4), 3.2b(4), 4.1a(4), 4.2a(3), 4.2b(2), 5.3b(4), 6.1b(5), 6.2a(6), and 6.3a(7). It is not necessary to report trends or comparisons in Category 7. NONE GENIUS EXCLUDED APPROACH/ DEPLOYMENT ASPECTS SYSTEMATIC  SYSTEMATIC   DEPLOYMENT  (defined by the Organizational  Profile) EXAMINED RESULTS ASPECTS  KEY AREAS   KEY AREAS  LEVELS (Category 7 Areas to  Address)   SYSTEMATIC DEPLOYMENT CONTINUOUS IMPROVEMENT EXAMINED KEY AREAS LEVELS TRENDS COMPARISONS NOTES: 1. The excluded Areas To Address apply to both the applicant in preparing the application and the examiners in preparing the scorebooks and feedback reports. These Areas to Address focus on Continuous Improvement. Thus, they are required only by the Genius applications. 2. Systematic means there is a planned method (procedure) for addressing the Criteria. Deployment means the method is used by all relevant parts of the organization. 3. For Results, Key Areas means the critical measures defined by the applicant. Levels means current performance on these measures. Trends means at least two periods of data for those critical measures. Comparisons means there are data on how other organizations (same industry, best-in-class, benchmarks) have performed. 14 TABLE 2 Connecticut Award for Excellence 2002 MBNQA EDUCATION CRITERIA FOR PERFORMANCE EXCELLENCE Criteria Applicable to Each Award Level for 2003 CAFE Awards INSTRUCTIONS: Look in the column below for the Award level at which you are applying. Note which Criteria you do not need to address in your application (first row) and what the examiners will be looking for (second and third rows). See the Notes below and your Criteria and instruction booklets for explanation of these items. AWARD LEVEL AREAS TO ADDRESS NUTMEG 1.1b(2), 1.1b(3), 3.1a(3), 3.1b(2), 3.2a(4), 3.2b(3), 3.2b(4), 4.1a(3), 4.1a(4), 4.2a(3), 5.3b(4), 6.1b(5), 6.2a(5), 6.3a(7), and all of Category 7. It is not necessary to address deployment or comparisons in any Item.  CHARTER OAK 1.1b(2), 1.1b(3), 3.1a(3), 3.1b(2), 3.2a(4), 3.2b(4), 4.1a(4), 4.2a(3), 5.3b(4), 6.1b(5), 6.2a(5), 6.3a(7). It is not necessary to report trends or comparisons in Category 7. NONE GENIUS EXCLUDED APPROACH/ DEPLOYMENT ASPECTS SYSTEMATIC   SYSTEMATIC DEPLOYMENT (defined by the Organizational Profile)    EXAMINED RESULTS ASPECTS  KEY AREAS   KEY AREAS  LEVELS (Category 7 Areas to  Address)   SYSTEMATIC DEPLOYMENT CONTINUOUS IMPROVEMENT EXAMINED KEY AREAS LEVELS TRENDS COMPARISONS NOTES: 1. The excluded Areas To Address apply to both the applicant in preparing the application and the examiners in preparing the scorebooks and feedback reports. These Areas to Address focus on Continuous Improvement. Thus, they are required only by the Genius applications. 2. Systematic means there is a planned method (procedure) for addressing the Criteria. Deployment means the method is used by all relevant parts of the organization. 3. For Results, Key Areas means the critical measures defined by the applicant. Levels means current performance on these measures. Trends means at least two periods of data for those critical measures. Comparisons means there are data on how other organizations (same sector, best-in-class, benchmarks) have performed. 15 TABLE 3 Connecticut Award for Excellence 2002 MBNQA HEALTH CARE CRITERIA FOR PERFORMANCE EXCELLENCE Criteria Applicable to Each Award Level for 2003 CAFE Awards INSTRUCTIONS: Look in the column below for the Award level at which you are applying. Note which Criteria you do not need to address in your application (first row) and what the examiners will be looking for (second and third rows). See the Notes below and your Criteria and instruction booklets for explanation of these items. AWARD LEVEL AREAS TO ADDRESS NUTMEG 1.1b(2), 1.1b(3), 3.1a(3), 3.2a(4), 3.2b(3), 3.2b(4), 4.1a(3), 4.1a(4), 4.1b(3), 4.2a(3), 4.2b(2), 5.3b(4), 6.1b(6), 6.2a(6), 6.3a(7), and all of Category 7. It is not necessary to address deployment or comparisons in any item.  CHARTER OAK 1.1b(2), 1.1b(3), 3.1a(3), 3.2a(4), 3.2b(4), 4.1a(4), 4.2a(3), 4.2b(2), 5.3b(4), 6.1b(6), 6.2a(6), 6.3a(5), 6.3a(7). It is not necessary to report trends or comparisons in Category 7. NONE GENIUS EXCLUDED APPROACH/ DEPLOYMENT ASPECTS SYSTEMATIC  SYSTEMATIC   DEPLOYMENT  (defined by the Organizational  Profile) EXAMINED RESULTS ASPECTS  KEY AREAS   KEY AREAS  LEVELS (Category 7 Areas to  Address)   SYSTEMATIC DEPLOYMENT CONTINUOUS IMPROVEMENT EXAMINED KEY AREAS LEVELS TRENDS COMPARISONS NOTES: 1. The excluded Areas To Address apply to both the applicant in preparing the application and the examiners in preparing the scorebooks and feedback reports. These Areas to Address focus on Continuous Improvement. Thus, they are required only by the Genius applications. 2. Systematic means there is a planned method (procedure) for addressing the Criteria. Deployment means the method is used by all relevant parts of the organization. 3. For Results, Key Areas means the critical measures defined by the applicant. Levels means current performance on these measures. Trends means at least two periods of data for those critical measures. Comparisons means there are data on how other organizations (same industry, best-in-class, benchmarks) have performed. 16 SITE LISTING and DESCRIPTORS FORM INSTRUCTIONS Introduction Because the Award focuses on the applicant’s total business system, it is important that the Examiners have a good understanding of the size, structure, and functions of the different organizational units. In addition, sufficient information must be provided on the programs or services developed at each location to be examined if the organization is selected for a site visit. Applicants must submit a copy of the Site Visit Listing and Descriptors Form with each copy of the Application Report submitted. Instructions for completing the Site Listing and Descriptors Form follow. Instructions A. Address of site: Provide the complete address of the site. B. Relative size: provide the approximate percent of the applicant’s employees at each site. Provide the approximate percent of the total operating budget at each site. C. Description of Program or Services: Describe the types of products or services that are the output of each site. It may be necessary to state the relationship between the output of each site and the applicant’s products or services. It is not necessary to list every product or service. Non-Disclosure Names of applicants, individual applications, commentary and scoring information developed during the review of applications are regarded as proprietary and are kept confidential. Such information is available only to those individuals directly involved in the evaluation and application distribution processes. Board of Examiner members are assigned to applications following strict conflict-of-interest rules and receive no information regarding the content or status of applications to which they are not assigned. Information on successful strategies of Award recipients and other applicants may be released only with their written approval. The Award committee will honor, to the fullest extent permitted by law, an applicant’s written request that certain information not be disclosed if the information is considered to be a trade secret or of such nature that its disclosure would injure the competitive position of the organization. Trade secrets are exempt from disclosure. Note: Summaries of Multiple Sites In cases where the applicant has many sites performing the same function, these sites may be aggregated under one listing. Instead of the addresses for each, a summary statement about the locations may be made. If site visits are to be conducted, a more detailed listing will be requested when the visit is planned. 17 SITE LISTING and DESCRIPTORS FORM A. Address of Site B. Relative Size (Percentage of Site) % Employees % of Total Operating Budget/Sales C. Description of Products or Services 18 APPLICATION PACKAGE CHECKLIST Applications should be accompanied by a transmittal letter on the organization’s official stationary. All submissions should be mailed to: Connecticut Award for Excellence CSU System Office 39 Woodland Street Hartford, CT 06105 For overnight delivery: Michael J. Rose, Award Administrator 70 Creamery Brook Rd. Brooklyn, CT 06234 A complete application package for the Connecticut Award for Excellence contains two parts: Part 1: Two forms (1) Eligibility Determination Form (2) Site Listing and Descriptors Form(s) Part 2: Written Report (1) Application Report with: • Business Overview • Responses to Examination Criteria How to order copies of the application: Individual copies of the Application materials are available free of charge from: Connecticut Award for Excellence CSU System Office 39 Woodland Street Hartford, CT 06105 Phone 860-493-0053 CAFECT#@aol.com Multiple copies of the Criteria books can be ordered from: American Society for Quality 611 East Wisconsin Avenue P.O. Box 3005 Milwaukee, WI 53201-3005 Telephone: (800) 248-1946 Fax: (414) 272-1734 Criteria Books can be downloaded from the Malcolm Baldrige office website: www.quality.nist.gov 19