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