Application

Writing Best
Practices
The Secretarys Robert W. Carey Performance Excellence
Symposium and Awards Ceremony
October 27, 2010
Kay@BaldrigeCoach.com
11 Abby Rd.
Westford, MA 01886
(978) 692-0308

Agenda

Objectives for writing a better application

The application writing process
De-coding the Baldrige Criteria
Top 10 application mistakes
Best practices in application preparation
Other resources

Objectives for a Better Application

Clear and concise response to the Criteria
and the scoring guidelines
Evidence of role model best practices,
processes, and results leadership
Earn all the points to which you are entitled
for your level of process and results maturity
Relevant, actionable OFIs from examiner
feedback to drive further improvement

Why Are You Here?

What are you trying to accomplish?
Whats working for your organization?
Whats not working in your organization?
Are you a decider or an influencer?

Where Are You in the Process?

New to the application writing process
Have submitted one application and received
feedback
Have submitted more than one application
and received feedback
Have submitted an application and received
some level of recognition and want to move to
a higher level of recognition (within Carey or
at the national level)

Baldrige (Health Care) Criteria Framework:

A Systems Perspective

Begin With the End in Mind

The Organizational Profile asks
questions that help you define yourself.
It is a key resource in promoting
dialogue among your senior leaders
about critical issues.
This dialogue will surface unknown (or
unspoken) disconnects that are rippling
throughout your organization.

Your Organizational Profile

What is the story you are trying to tell?
What may be difficult for examiners to
understand about your organization?
What makes you different from other VA
applications examiners might have reviewed
(and from their own organization)?
What needs further revision?

Organizational Profile

P.1 Organizational Description

P.2 Organizational Situation

It all starts here. It sets the expectations

for the rest of the application.

Tell your story.

Challenge assumptions.

Be real.
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Start With the Basic (Item Requirements)

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Starting With Your Basics

Most organizations already have some
processes in place that respond to the
basic requirements of Baldrige.

Planning
Review of organizational performance
Performance management for employees
Delivery of key products and/or services

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A Systematic Approach - How

Define the
Process

Improve

A
System

Deploy

Measure

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The Scoring System Provides Insight

Process
Approach
Deployment
Learning
Integration

Results
Levels
Trends
Comparisons
Integration (including
segmentation)

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Other Criteria Resources

The Glossary
Systematic
Alignment
Integration

The Core Values

Category and Item Descriptions (the
longer version)

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The Criteria Can Be Confusing!

The Basic criteria is on pages 4 through 26

More information on the meaning of the

criteria is on pages 34 through 50

A detailed glossary is on pages 59 through 67

ALL THREE ARE IMPORTANT!!!

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Understand How and What

The Criteria are a series of two types of questions:
How questions ask for descriptions of systematic
approaches
Asked in Categories 1 6

What questions ask for:

A list of specific details (in the Organizational Profile
and Categories 1 6)
See the Organizational Profile; also 1.1b(2); 1.2b(1);
1.2b(2); 1.2c; 2.1a(1); 2.1b(1); 2.2a(4); 2.2a(5); 2.2a(6);
2.2b; 3.2a(2); 4.1a(1); 4.1b(1); 5.1c(1); 5.2b(1); 6.1a(1);
6.1b(1); 6.1b(2); 6.2a(1)

Performance results (in Category 7)

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Putting The Pieces Together

Approach
Approach

Deployment
Deployment

Who does it?

What do they do?
How do they do it? Where and when
Is it systematic?
is it done?
Does it support key How do they align
everyone?
operational factors
and processes?
Does it support the
Learning
Learning
Strategic
Challenges?
Are there evaluation and
improvement cycles for
the approach?
Is there evidence of
organizational learning?

Results
Results
What happens
because of their
approaches and
deployment?
Is it relevant?
Are there positive,
sustained trends?
How does their
performance
compare with
relevant
comparisons?
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Baldrige Criteria Language for Process

1.1a(1) HOW do SENIOR LEADERS set organizational
VISION and VALUES? HOW do SENIOR LEADERS
deploy your organizations VISION and VALUES
through your LEADERSHIP SYSTEM, to the
WORKFORCE, to KEY suppliers and PARTNERS,
and to CUSTOMERS and other STAKEHOLDERS, as
appropriate? HOW do SENIOR LEADERS personal
actions reflect a commitment to the organizations
VALUES?

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Simplified Criteria Language

What is the process for. . .?
Setting the organizational vision and
values
What is the process for. . . ?
Deploying the vision and values to all
employees, key suppliers and partners,
and customers.

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Baldrige Criteria Language for Process

1.1b(2) HOW do SENIOR LEADERS create a focus on action
to accomplish the organizations objectives, improve
PERFORMANCE, and attain its vision? What
PERFORMANCE MEASURES do SENIOR LEADERS
regularly review to inform them on needed actions? How
do SENIOR LEADERS include a focus on creating and
balancing VALUE for CUSTOMERS and other
STAKEHOLDERS in their organizational PERFORMANCE
expectations?

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Simplified Criteria Language

What is the process for?

Driving improvement action
What performance metrics are used?
Creating and balancing (by senior
leaders) needs of all Stakeholders

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Lets Dissect a Process Item!

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Baldrige Criteria Language

for Results
7.1a(1) What are your current LEVELS and
TRENDS in KEY MEASURES or INDICATORS
of product and service PERFORMANCE that
are important to your CUSTOMERS? HOW do
these RESULTS compare with the
PERFORMANCE of your competitors and other
organizations providing similar products and
services?

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Simplified Criteria Language

What are your current levels and trends
of performance in product and service
related key measures?
What are your comparative/competitive
results for ?

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Lets Dissect a Results Item!

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Lets Trace a Key Factor Through the

Criteria!

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The Linkages Abound!

(or should) some examples

P.1a(1) Main product offerings --> P.1a(2)

Core competencies and 6.1a Work
process design --> 7.1 Product outcomes
P1a(3) Workforce or employee groups and
segments --> 5.1c Methods and measures
differ across workforce groups and
segments --> 7.4 Workforce-focused
outcomes

[hint: don't forget your volunteers, if you have them]

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More Examples of Linkages

P.1b(2) Key customer groups and

segments --> 3.1a(1) Product Offerings
and Customer Care --> 7.2 Customer
Focused Outcomes and 7.3(2)
Indicators of marketplace performance
P.2a(3) Sources of comparative and
competitive data --> 4.1a(2) Selection
and use of key comparative data -->
Category 7 results

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And a Few (Obvious) Ones

P.2b Strategic advantages and

challenges -->2.1a(1) Strategy
development process and 2.1b Strategic
objectives
P.2c Performance improvement system
all Items that explicitly ask how
processes are evaluated and kept current
[hint: really, all Process Items since improvement is one of the scoring dimensions]

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Top 10 Application Mistakes

1. Failure to answer what questions effectively
and efficiently
2. Failure to write to the process scoring
guidelines
3. Failure to include expected results that meet
requirements or lack comparisons and
segmentation
4. Wasted space in application
5. Not examiner-friendly

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Top 10 Application Mistakes (concluded)

6. Missing or immature essential systems
7. Anecdotal evidence or name it and claim it
8. Lack of an effective Performance
Improvement System (P.2c)
9. Not having someone knowledgeable review
the application before submission
10.Ignoring prior examiner feedback,
resubmitting an application but expecting a
better outcome

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Best Practices in Application

Preparation
Prepare project plan with tasks, roles,
milestones, and page allocations
Identify key themes and embed recurring
examples
Identify an organizing strategy for application
alignment and integration
Prepare figures plan Table of Contents

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Best Practices in Application

Preparation (concluded)
Prepare expected results matrix requirement,
segmentation, comparisons for all important
requirements
Prepare process descriptions to show
deployment, systematic evaluation, cycles of
improvement, and integration
Use cross-references to demonstrate integration
Create the first draft quickly, use the second
draft to refine score and integration, use the
third draft to final edit and proof

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Other More Subtle Tips

Lead the witness create an expectation for the
examiners of what they will see
Refer to the value of the feedback you have
received from previous applications
Draw the conclusion you want the examiners to
make with action-oriented figure legends and the
use of in-graph comment bubbles
No extra white space think data dense
Take advantage of the Glossary with no page limit
Personalize, personalize, personalize -- help the
examiners get to know you

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Developing Strength Key Themes

Sources:
Key Themes in previous feedback reports
Things that your organization is proud of
Baldrige Core Values

Map into Items and Areas to Address

Use multiple, but different examples
Be consistent in your terminology

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Table of Contents
Valuable tool to design and organize your
application
Organized by Organizational Profile and
Category
Figures illustrate major processes as systems
Tables a compact way to summarize
information and focus on the most important
requirements with Results figure numbers
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Developing a Results Matrix

Results for your answers to all What questions
asking about key processes, measures, and
goals
Results for any measures required to be
reported for your type of organization
Results featured in the Criteria Item
Descriptions pp. 48 - 50
Results segmented appropriately based on the
story you tell in the Organizational Profile
Results with comparisons cited in P.2a.(3)

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Key to Results
Based on your matrix of expected results
Favorable trends (or an explanation for adverse
trends)
Leadership position against relevant
comparisons or benchmarks
Some important measures include projections,
which should be the same as those used in
Item 2.2
Include written interpretation for the examiners

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Options for Writing an Application

Conduct informal assessment (self, facilitated,
or using software)
Have an employee just do it (Champion)
Create an internal team to write the application
Create an internal team guided by an outside
consultant
Have a consultant(s) just do it
Remember - it takes time to write!

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Tips For Preparing a Good Application

Remember, the better your application, the more relevant
your feedback
Learn to think like an examiner (hmmm, become an
examiner?)
Be consistent in your terminology
Help examiners find the information (tables, crossreferences)
For results, tell the examiners the conclusions they should
be drawing
Write your own Key Themes and map them into the
application
Use the application summaries posted by Award Recipients
for clarification and inspiration

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Evidence Things to Include

Description of approach
Systematic nature of approaches
Maturity of approaches, cycles of
improvement
Depth of deployment across organization
Degree of fact-based evaluation and
improvement
Linkage between approaches and results
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Semantics - Words vs. Facts

Words are frequently generalizations and
emotion or opinion-based
Facts are specific and based on objective data
Words: TNB uses a proven, fact-based, strategic
planning process.
Fact:

TNBs strategic planning process was first

developed in 2001 and has been improved
annually. It is a five-step process spanning 3
months and involves both the EMC and all other
employees. Its output is: strategic plan,
operating plan, action plans for improvement,
individual employee performance plans.

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Five Basic Criteria Elements Directly

Related to Scores
Approach - How?
Deployment - Where?
Learning Cycles of improvement?
Integration - Aligned?
Linked?
Results - Current performance?
Trends?
Comparisons?

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Types of Approach Evidence

Name of process
Purpose/goal
Alignment to vision/goals/values
Integration with other processes
Key steps
Input
Process Steps
Output

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Types of Deployment Evidence

Process management
Function/group administering process

Process maturity
Date process initially implemented

Depth of deployment
Locations where process occurs in
organization
Types/levels of employees involved in
process
Frequency

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Types of Learning Evidence

Cycles of improvement
Date(s) of improvements
Description of improvement(s)
Evidence of fact-based evaluation and
improvement process
Breakthrough change and innovation
Sharing with other work units

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Types of Integration Evidence

Alignment with needs and processes
across work units
Complementary measures, information
and approaches to improvement
across work units
Harmonized plans and actions across
work units

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Types of Results Evidence

Performance measure used to evaluate
effectiveness or efficiency of process
Current results
Trend results
Comparative and/or competitive results

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And a Few More Tips

Some words are red flags -- regularly,

frequently, often
The empty assertion or anecdotal evidence
Future tense doesn't get you credit
Inconsistent references to parts of your
organization, initiatives, and processes
Disappearing lines of service, customer
groups, workforce segments
Space-filler results
Too much white space
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Other Resources
Self-analysis worksheet (available on
www.baldrige.nist.gov)
State programs
Articles available through ASQ
Books, such as The Making of a World-Class
Organization by E. David Spong and Debbie J.
Collard
Coming soon! -- The Executive Guide to
Understanding and Implementing Baldrige in
Healthcare; Evidence-Based Excellence by
Glenn Bodinson and Kay Kendall

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Questions?
Thank you!

Kay Kendall
(978) 692-0308
Kay@Baldrige-Coach.com

Glenn Bodinson
(972) 489-5430
Glenn@Baldrige-Coach.com

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