SWOT Assessment Using The Malcolm Baldrige Model by Consultant or Self Assessment

SWOT Assessment Using the Malcolm Baldrige Mo
By Consultant or Self Assessment

Instructions
Worksheets
This workbook includes seven tabs covering each category. You will need to work your way through each
tab, entering a percentage score in 10% increments for all 91 criteria. Scores are tabulated and summarized
the top of this spreadsheet. Additional instructions appear within each tab to assist you with scoring the
respective category.
All input cells are highlighted in: 0%
Cells with formulas are highlighted in:
NOTE: All 91 criteria or questions will include comments for 0% and 100% scores to help you understand
how to score the question.
Move your cursor over the cell with a red triangle.
Scoring
Each of the 91 criteria is assigned a percentage score based on two areas:
1) Implementation and Deployment - Did the organization use the proper methods and
techniques to successfully launch and deploy the quality program, were the practices
relevant, did they actually work for all targeted areas (production, customer service,
supply chain management, etc.), has the practice been fully integrated into all parts of
the organization, etc.
2) Actual Results - Measured outcomes and performance levels clearly demonstrate

improvement, the scope of improvement is wide, the improvement is permanent and
sustainable, and the measured feedbacks are very reliable.
General breaking points in percentage scoring:

Percent
Score Implementation and Deployment
Best in Class 100% Very strong improvement process supported

by hard evidence, completely deployed in all
parts of the organization.
Excellent 80% Solid approach and deployment of quality

improvement covering almost every part of
the organization, strong factual evidence to
backup improvement process.
Above Average 60% A sound approach has been used in the
primary parts of the business. More
emphasis on improvement is needed to
reach other parts of the business.
Below Average 40% Implementation is generally working and

the overall approach is reasonably sound.
Primary parts of the business have not yet
realized signficant improvements.
Poor 20% Implementation has major gaps, not going

very well. Early stages of deployment,
needs to be modified in order to really work.
Zero Base 0% No improvements are planned for the

organization, organization reacts to each
and every change imposed upon it.
Malcolm Baldrige Model
lf Assessment
ons
ork your way through each

re tabulated and summarized at
sist you with scoring the
es to help you understand
Actual Results
Outstanding performance improvements

with both internal and external benchmark
evidence to support improvement results.
Performance levels are very solid in most

areas of the business, performance is
benchmarked internally and externally.
Improvement trends have been documented.
Need more pro-active indicators to move
the organization into more effective
implementation.
Some areas of the business have reported

improvements.
Very few or no areas of the business have

reported favorable results. No overall trend
has been established.
No measurements in place to track any

improvements.
SWOT Assessment Using the Malcolm Baldrige Model
Category 1: Leadership (95 points)

Summarize Leadership Score
Senior Leadership:
1.01 Extent of senior management involvement
1.02 Integration of quality by senior management
1.03 Overall effective communication on customer and quality
1.04 Effective leadership development
Managing for Quality:
1.05 Accountability for quality within various levels and functions
1.06 Communication to employees on customer and quality issues
1.07 Employee support and training on quality issues
1.08 Reinforcement by Managers to their employees
Social Responsibility:
1.09 Integration of social issues into the business
1.10 Assessment of products and services on social issues
1.11 Company leadership on social issues
1.12 Evidence in support of social responsibility
Leadership Scoring
The leadership category evaluates the committment and involvement of senior level management in
creating and sustaining a focus on values of quality, such as customer satisfaction. Strong leadership
is required for integrating quality into everything the company does, including social responsibilities.
80% to 100% range:

Senior level management is strongly involved and behind quality improvement within the company.
Management is very supportive and working to form teams throughout the company.
Senior managers are communicating clearly the vision and goals behind quality improvement and how
it must interact with customers, suppliers, employees, and others in the value chain.
Senior management is very committed to all continuous improvement efforts.
60% to 80% range:

Most senior level managers are visibly involved in quality improvement. Senior managers are meeting
with teams, suppliers, and other key players in process improvements. Management behavior at all
levels in the organization reflects a commitment to quality. Senior management is actively promoting
and communicating quality improvement.
40% to 60% range:

Senior level managers are sharing their ideas on quality improvement with customers, employees,
suppliers, and other key players. Management performance is linked to quality. Many parts of the
organization are actively engaged in quality programs. Senior level leadership is supportive of
strategic quality initiatives.
20% to 40% range:
A few senior level executives are supportive of quality improvement. Employees are encouraged to
become more involved. Communication is top down and not across organizational boundaries.
Continuous improvement programs are up and running in some parts of the company. Overall
organizational policies do support quality improvement.
0% to 20% range:
Senior management has yet to develop and launch quality improvement as a major strategic goal.
There is no real committment by leadership on making quality a high priority. Senior managers are
not engaged with customers, suppliers, employees, and others on how to improve quality. There
is no concern for things like social responsibility.
Enter Scores for Leadership Criteria
Criteria
Number Criteria Description / Question
1.01 To what extent is senior level management involved in the

company's quality improvement efforts? This includes planning,
communicating, measuring, changing, mentoring, etc.
0% 100% Enter % score =>
1.02 Is senior level management integrating the values of quality into

everything they say and do, internally and externally?
1.03 Is senior level management effectively communicating the

company's focus on customer and quality to all levels within
the organization?
1.04 How effective is senior management in developing and reviewing

their own leadership skills and abilities, learning to become more
personally involved within the organization?
1.05 Do you have specific guidelines and standards for holding

managers accountable for quality, including supervisors and
others, designed for different levels and functions within the company?
1.06 A focus on the customer and quality are effectively communicated to

all employees within the company.
1.07 Employees have regular training and support to reduce errors and
improve quality, including comparisons to planned improvements.
1.08 How effective are managers and supervisors at reinforcing the customer
focus and quality values amongst employees? Are managers and
supervisors evaluated on this reinforcement?
1.09 The organization has strongly integrated ethics, public responsibility,

environmental protection, and safety into its business practices.
1.10 The organization plans ahead to consider the reaction and impact a
product or service may have on the local community, environment, and
human safety.
1.11 The organization is considered a leading corporate citizen within its

local community.
1.12 Does the organization have evidence, such as trend data, to clearly show
that it is addressing social issues and is actively involved in community
services, education, environmental protection, health care, and other
public quality programs?
m Baldrige Model
Avg % Total Total

% score by Sub Points by Points
Category Sub Catg Scored
70%
60%
70%
60% 65% 45 29
70%
80%
60%
50% 65% 25 16
60%
50%
50%
60% 55% 25 14
Total Points 95 59
level management in
ion. Strong leadership
ocial responsibilities.
within the company.
y improvement and how
managers are meeting

ement behavior at all
is actively promoting
omers, employees,
Many parts of the
s supportive of
s are encouraged to
nal boundaries.
mpany. Overall
major strategic goal.

enior managers are
ove quality. There
Criteria
Score
70%
60%
70%
60%
the company?
70%
municated to
80%
60%
ng the customer
50%
esponsibility,
60%
vironment, and
50%
50%
a, to clearly show
d in community
re, and other
60%
Category 2: Information and Analysis (75 points)

Summarize Information & Analysis Score
Management of Data:
2.01 Measurement of critical data for decision making
2.02 Reliability and timeliness of data
2.03 Evaluation and improvements to data
Competitive Analysis:
2.04 Deployment of competitive data analysis
2.05 Scope and application of competitive data analysis
2.06 Driving change to critical parts of the business
2.07 Improvements to competitive analysis
Analysis and Use of Data:
2.08 Systematic analysis of data in critical areas
2.09 Continuous improvement to data management practices
2.10 Collection, transformation, and distribution of data
2.11 Methods and techniques deployed
Information & Analysis Scoring
80% to 100% range:

Quality related data is fully integrated and distributed easily within the organization. Processes for data and
information management are timely, accurate, and useful throughout the entire company. Quality data is
readily available for various processes within the company. Data is analyzed and transformed into useful
information for identifying new opportunities for improvement. Benchmarks and comparisons are used to
drive continuous quality improvements.
60% to 80% range:

Employees and others have easy access to data in most parts of the company. For the most part, technologies
and processes are in place for ensuring that data is complete, accurate, timely, and useful. Most processes are
using quality data for decision making. Comparative data is used for planning and making improvements.
Measurements are in place for most products and services.
40% to 60% range:

Many parts of the company have processes in place for timely, accurate, complete, and useful data. Many
employees have access to data for decision making. Data is used in most processes. Some products and
services are measured and benchmarked using comparative data. Measurements do exist on strategic
objectives related to products and/or services.
20% to 40% range:

Some processes are in place, providing timely, accurate, complete, and useful data. Data is limited in how it
is used for decision making. Data is collected and used on some customers, suppliers, and other critical
functions of the company. A centralized group analyzes the data, but useful information is restricted to a
few parts of the organization. Data analysis tends to be limited, not driving major improvement initiatives.
0% to 20% range:
Data is primarily used for traditional reporting functions. Comparative analysis is not in place. Only a few
critical processes use quality data for improvement. Little or no data is collected and used for making
improvements with customers and suppliers. Data analysis is just beginning to take place for minor
improvement projects.
Enter Scores for Information & Analysis Criteria
Criteria
2.01 Does the organization measure data related to customers, products,

supplier performance, financial performance, and employee performance?
Is this data useful and understandable to decision makers?
2.02 How reliable is data to the decision maker and is this data distributed to
decision makers on a timely basis?
2.03 How do you evaluate and improve data management practices, such as
shortening the process cycle and transforming data into useful information?
2.04 Does your organization use external benchmarks and competitive data to
drive improvements, operating performance, and planning?
2.05 How extensive is the competitive benchmarking data?

2.06 Is the organization using benchmarking to improve critical processes,

create innovation, and reach planned targets?
2.07 Does the organization evaluate and revise the scope and accuracy of its
benchmarking data to improve planning and improve performance?
2.08 Does the organization systematically analyze data for determining

customer trends, problems, new opportunities, and areas for improvement?
2.09 Is there a continuous process of improving data collection and

analysis, such as shortening the cycle time, making people more
productive with better information, and providing easy access.
2.10 Does the organization collect key cost, financial, operating, and other
data, translating it into useful information for employees and other
decision makers, supporting both operating and long-term planning
decisions?
2.11 How does the organization reduce cycle times and improve the
integrity of data for decision makers?
m Baldrige Model
(75 points)
Avg % Total Total
80%
80%
70% 77% 15 12
60%
60%
70%
60% 63% 20 13
70%
70%
60%
60% 65% 40 26
Total Points 75 50
tion. Processes for data and

company. Quality data is
nd transformed into useful
comparisons are used to
For the most part, technologies

and useful. Most processes are
nd making improvements.
lete, and useful data. Many

esses. Some products and
nts do exist on strategic
data. Data is limited in how it

uppliers, and other critical
ormation is restricted to a
or improvement initiatives.
s not in place. Only a few
d and used for making
take place for minor
Criteria
Score
rs, products,
yee performance?
80%
ta distributed to
80%
actices, such as
useful information?
70%
ompetitive data to
60%
60%
al processes,
70%
d accuracy of its
60%
s for improvement?
70%
70%
ng, and other

60%
60%
Category 3: Strategic Planning (60 points)

Summarize Strategic Planning Score
The Planning Process:
3.01 Integration of planning into all parts of the business
3.02 Integration of processes into planning decisions
3.03 Enterprise wide planning
3.04 Continuous improvements to planning
Performance Planning:
3.05 Recognition of quality within planning
3.06 Sharing of planning decisions
3.07 Integration of planning and quality goals
3.08 Projections and targets for planning
Strategic Planning Scoring
80% to 100% range:

Strategic planning is used regularly to develop goals and objectives for improving quality. All levels of the
company participate in some form of strategic planning. Employees, suppliers, customers, and other
stakeholder groups are actively engaged in strategic planning decisions. Management is very involved in
planning related activities. Strategic planning includes key performance indicators, surveys, benchmark
data, and other quality information to ensure that strategic planning is strong and viable for all parts of
the company.
60% to 80% range:

The organization has established a complete strategic plan for addressing quality improvement, including
mission, vision, goals, specific tasks, targets and programs. A broad planning process is used, involving
customers, suppliers, and employees. The strategic planning process includes key quality indicators,
benchmarks, and other quality information. Operating plans are developed throughout the entire company,
linked to the company's overall strategy. Managers are held accountable for meeting strategic goals.
40% to 60% range:

Key organizational units have operating plans in place, linked to the company's overall strategy. Managers
are held accountable for meeting strategic goals. The strategic planning process uses some key indicators,
surveys, and other benchmark data. Senior level management approves the final strategic plan.
20% to 40% range:

Key functional parts of the organization have strategic goals. The overall organization does have a strategic
planning process. Some involvement from customers and suppliers does take place within the strategic
planning process. Customer data is used to assist with strategic planning. Senior management approves
the final strategic plan.
0% to 20% range:
Strategic planning is not visible or understood within the organization. Senior management develops the
strategy with no input from customers, suppliers, employees, or other stakeholder groups. The strategic
plan is very "inward" thinking with little focus on the customer.
Enter Scores for Strategic Planning Criteria
Criteria
3.01 How is overall planning integrated into lower level planning at business
unit levels and department levels for short term and long term decisions?
3.02 Does the organization re-align or re-engineer a process to make sure it

fits with strategies for work performance?
3.03 Strategic plans are deployed throughout the entire company.

3.04 Is the strategic planning process evaluated and improved on a

regular basis?
3.05 Does the company have major quality improvement goals and
objectives within its strategy?
3.06 How effective is the company at sharing and deploying its short term
goals with employees, suppliers, and others who have to execute on
the strategy?
3.07 How does the organization's long term goals relate to improving
quality?
3.08 How does the organization project out benefits from long term and short
term planning? How does this compare to key benchmarks?
m Baldrige Model
Avg % Total Total

70%
60%
60%
50% 60% 35 21
90%
70%
70%
60% 73% 25 18
Total Points 60 39
ng quality. All levels of the

customers, and other
gement is very involved in
ors, surveys, benchmark
nd viable for all parts of
ity improvement, including

rocess is used, involving
key quality indicators,
ughout the entire company,
eeting strategic goals.
overall strategy. Managers

ss uses some key indicators,
nal strategic plan.
ization does have a strategic

place within the strategic
or management approves
management develops the

der groups. The strategic
Criteria
Score
ing at business
g term decisions?
70%
to make sure it
60%
60%
50%
90%
ts short term
o execute on
70%
70%
g term and short
60%
Category 4: Human Resources (150 points)

Summarize Human Resource Score
HR Planning and Management:
4.01 Human resource plans linked to strategy
4.02 Human resource plans linked to quality improvement goals
4.03 Use of employee data for improvements
Employee Involvement:
4.04 Incentives for employee involvement in quality improvement
4.05 Empowerment of employees for quality improvement
4.06 Measure and monitor employees for quality improvement
4.07 Wide spread involvement and key indicators
Education and Training:
4.08 Development of training and education programs
4.09 Link between training and the job
4.10 Measure the impact of training as it relates to the job
4.11 Measure by various categories
Employee Performance & Recognition:
4.12 Reward and recognition for quality contributions
4.13 Review and improve various recognition programs
4.14 Trend data on recognition programs
4.15 Continuous improvement of various programs
Employee Satisfaction:
4.16 Development of employee services
4.17 Assessment of employee satisfaction
4.18 Trend data on employee services
Human Resource Scoring
80% to 100% range:

Full implementation and integration of employee growth plans, including training programs,
career development paths, evaluation / self-awareness processes, compensation, empowerment,
and measurable results. Very high levels of involvement by employees in day to day operations
and planning the business. People work well within teams and across organizational functions.
Strong recognition programs are in place for rewarding employees who improve quality. The
organization is very sensitive to the needs and requirements of employees, working hard to make
sure employees are productive and satisfied.
60% to 80% range:

Senior management and most middle level managers are very supportive of strong human resource
practices to build and develop employees. Work teams and groups are empowered, providing valuable
improvements in almost every part of the business. Employees have quick access to data for analysis
and sharing of information in most parts of the company. Employee ideas for making improvements
is strongly encouraged and acted upon throughout most of the organization.
40% to 60% range:
Many parts of the organization have empowered their employees through cross functional teams and the
sharing of information. The company has an overall plan to fully develop its human resource capital.
Employees are rewarded for making improvements to quality. Management supports the development of
employees in many parts of the organization. The organization is sensitive to the needs of employees.
20% to 40% range:

Employee empowerment is not encouraged throughout the company. Rewards and recognition for
quality improvement is not fully deployed at all levels within the company. Most of the focus is on
individual employee recognition and not teams or groups. Not all employee development programs are
linked to the company's strategy and quality objectives. The organization does not consistently support
the needs and requirements of employees.
0% to 20% range:
Training and fundamental development of employees is not widely practiced. Few employees are
empowered and no priority is given to building the human resources of the company. Reward and
recognition programs are not focused on employee performance and quality improvement. A few
managers support human resource development, but no real leadership exists from the top.
Enter Scores for Human Resource Criteria
Criteria
4.01 Are human resource plans driven by the company's strategy to improve
quality; i.e. training, hiring, empowerment, teams, etc.?
4.02 Are the company's human resource strategies related to quality

improvement goals?
4.03 How does the organization use employee related data to improve
human resource management (hiring practices, training, etc.)?
4.04 How does the organization promote employee contributions to

quality performance goals?
4.05 Does the organization give employees the authority and support
for solving problems and making improvements within their
work area?
4.06 Does the organization measure and evaluate the effectiveness

of employee involvement, empowerment, and innovation?
4.07 Does the organization encourage employee involvement at all

levels and does the organization have key indicators to monitor
employee involvement?
4.08 Does the organization systematically assess the needs of the

workforce and develop plans for training and education at
various levels and categories of employment?
4.09 Is actual training of the employee reinforced as part of the job

and actually applied to the work area?
4.10 Does the organization use indicators to assess that training is

helping to improve both the employee and the quality of work
within the respective work area?
4.11 Does the oganization measure employee training by job

category?
4.12 Does your performance and recognition system support quality

improvement goals?
4.13 Does the organization regularly review and improve its compensation,
performance measurement, and recognition programs?
4.14 Does the organization have evidence and data on employee

recognition programs, such as types of awards, locations, and
other trend information over the last few years?
4.15 Does the organization continuously work to improve safety,

health, morale, and overall satisfaction of its employees?
4.16 Does the organization work proactively to develop employee

services, such as day care, car pooling, and other services
that enhance overall employee satisfaction?
4.17 How does the organization assess and evaluate overall

employee satisfaction?
4.18 Does the organization have supporting data related to

improvements for employees, such as safety, absenteeism,
turnover, grievances, customer complaints, and other quality
factors that demonstrate employee satisfaction?
m Baldrige Model
Avg % Total Total

70%
60%
70% 67% 20 13
70%
60%
60%
60% 63% 40 25
70%
60%
70%
70% 68% 40 27
70%
60%
60%
80% 68% 25 17
70%
60%
60% 63% 25 16
Total Points 150 98
g programs,
on, empowerment,
o day operations
tional functions.
e quality. The
rking hard to make
rong human resource

ered, providing valuable
ess to data for analysis
aking improvements
s functional teams and the
man resource capital.
pports the development of
he needs of employees.
and recognition for

of the focus is on
velopment programs are
not consistently support
ew employees are
mpany. Reward and
provement. A few
from the top.
Criteria
Score
tegy to improve
70%
60%
70%
70%
60%
60%
60%
70%
60%
70%
70%
70%
compensation,
60%
60%
80%
70%
60%
60%
Category 5: Process Management (140 points)

Summarize Process Management Score
Design & Introduction of Products and Services:
5.01 Customer information for design of products / services
5.02 Design and testing of new products / services
5.03 Life cycle management
Production and Delivery Processes:
5.04 Control over processes, including errors and defects
5.05 Systematic approach for evaluation and assessment
Business and Support Service Processes:
5.06 Quality control in business and support service processes
5.07 Use of key indicators
5.08 Identification of areas for improvement
Supplier Quality:
5.09 Communication of quality standards to suppliers
5.10 Quality assurance program
5.11 Evaluation and improvement of procurement process
5.12 Cooperative relationship with suppliers
Quality Assurance:
5.13 Audits and assessments of products and services
5.14 Resolve and correct errors, defects, and other issues
Process Management Scoring
80% to 100% range:

Processes are well documented and controlled throughout the entire company. Practices are in place to
consistently evaluate and improve processes. Critical processes are subject to rigid assessments on a
regular basis. Analytical techniques are in place to identify and solve process management issues.
Partnerships with suppliers and other stakeholders have been established to better manage processes for
the benefit of all players.
60% to 80% range:

Most parts of the business have documented and controlled their processes. There is a strong practice in place
for assessing and improving a process throughout almost every part of the organization. There is a strong
emphasis on supplier quality and partnering with other stakeholders to improve processes. Comprehensive
assessments are made of critical processes to ensure the company is meeting customer requirements.
Analytical problem solving tools are used in almost every part of the business to identify and improve processes.
40% to 60% range:

Many parts of the business are driving process improvement with the use of customer data. Standards are used
in many parts of the business to control the process. Problem solving tools are used in most parts of the
organization for analyzing and improving a process. Many parts of the business regularly assess their critical
processes. Preventitive measures are used to help monitor and ensure that quality standards are met.
20% to 40% range:

The emphasis on process management is more on evaluate and react as opposed to preventitive control measure
Suppliers are managed based on costs and not strong business relationships for process improvement. Problem
solving tools are used in some parts of the business. Core processes are subject to assessments and evaluations.
Some customer input is sought in pursuit of process improvement.
0% to 20% range:
Quality assurance managers are solely responsible for making improvements to the business processes. No suppl
or customer input is sought in trying to improve core processes. Suppliers are not viewed as partners in helping run
the business. Very few if any problem solving tools are in place for analyzing and identifying process problems.
Processes may get evaluated, but no real emphasis is made on prevention.
Enter Scores for Process Management Criteria
Criteria
5.01 Does the organization systematically gather customer needs

and desires, and then translate these customer inputs into
revisions, modifications, or other standards for products / services?
5.02 How does the organization design and test a new product or
service?
5.03 Does the organization evaluate and shorten the design processes
for new products and services?
5.04 Does the organization have control over processes, including control
over variations and defects in processes that are used for producing
and delivering products and services?
5.05 Does the organization use a systematic and standard approach

to evaluating processes for better quality, cycle times, defects,
and other operating performance attributes?
5.06 How does the organization manage quality control as it relates

to routine business processes and support services (such as
human resource, finance, legal, payroll, public relations, etc.)?
5.07 Does the organization capture, maintain, and use key indicators
for business and support services?
5.08 How does the organization identify areas for improvement?
5.09 Does the organization clearly communicate quality standards

and requirements to suppliers?
5.10 Does the organization have a quality assurance process to

ensure that suppliers are meeting quality requirements?
5.11 Does the organization evaluate and improve its procurement

policies and practices?
5.12 Does the organization have a cooperative relationship with its

suppliers, including reward programs, certification and other
policies that build long-term relationships?
5.13 Does the organization audit or evaluate its products and services,
including the systems and processes that create and manage
products and services?
5.14 Does the organization regularly followup with assessments and

effectively corrects the problem or resolve the issue that was
identified?
m Baldrige Model
40 points)
Avg % Total Total
80%
70%
80% 77% 40 31
70%
70% 70% 35 25
70%
80%
80% 77% 30 23
80%
80%
80%
70% 78% 20 16
80%
70% 75% 15 11
Total Points 140 105
Practices are in place to

rigid assessments on a
management issues.
etter manage processes for
here is a strong practice in place

anization. There is a strong
processes. Comprehensive
customer requirements.
o identify and improve processes.
stomer data. Standards are used

used in most parts of the
s regularly assess their critical
ality standards are met.
sed to preventitive control measures.

or process improvement. Problem
ct to assessments and evaluations.
o the business processes. No supplier

not viewed as partners in helping run
nd identifying process problems.
Criteria
Score
80%
70%
80%
uding control
or producing
70%
70%
70%
80%
80%
80%
80%
80%
70%
80%
70%
Category 6: Operating Results (180 points)

Summarize Operating Result Scores
Product and Service Quality Results:
6.01 Historical data on product and service quality
6.02 Competitive benchmarking
Operating Results:
6.03 Measurement of operating results
6.04 Competitive benchmarking
Business and Support Service Results:
6.05 Data collection and measurement
6.06 Best in class benchmarks
Supplier Quality Results:
6.07 Measurement of supplier results
6.08 Comparable benchmarks
Operating Result Scoring
80% to 100% range:

Customer satisfaction and other measurements clearly show high levels of customer satisfaction and loyalty.
Overall trends are very positive when it comes to improving processes throughout the entire company, including
processes that cut across business functions and stakeholder groups. Any negative trend is immediately acted
upon with a plan for turning the trend around. Supplier data also shows strong positive trends in making
improvements within the supply chain. Support services have shown solid results in making processes very
efficient and effective.
60% to 80% range:

Most operating performance indicators are very positive. Customers and supplier surveys and other indicators
show solid improvement over the last few years. Comparative measurements and benchmarks reveal that the
company is ranked in the top of its industry for most core processes. Most parts of the organization have
demonstrated through measurement numerous improvements - better quality, higher productivity, lower costs,
lower cycle times, etc.
40% to 60% range:

Customer satisfaction surveys indicate positive results and critical supplier standards are being met. Comparative
and benchmark measurements are documented and in place within key areas of the company. All major key
performance indicators are favorable for critical parts of the organization.
20% to 40% range:

Product and/or service results are showing signs of improvement. Additionally, customer surveys indicate some
improvement. Some suppliers are able to meet quality standards, however more improvements are needed.
Some parts of the business are showing positive trends. Measurements for monitoring results throughout the
entire organization are not yet in place. More comprehensive results are needed.
0% to 20% range:
There is only minor evidence of performance improvement. Overall, results are not favorable. Key indicators such
as customer satisfaction are not measured. Supplier improvements are not measured. No comparative benchmark
are used to monitor results. Only a few parts of the organization are measuring improvements.
Enter Scores for Operating Result Criteria
Criteria
6.01 Does the organization have at least two years of data related to
quality improvements in its products and services?
6.02 How does the organization compare its quality results with
the competition?
6.03 Does the organization measure operating performance (cycle times,

productivity, defects, errors, etc.)?
6.04 How does the organization's operating performance compare with

that of the competition?
6.05 Does the organization collect quality improvement data related to

general business and support services?
6.06 Does competitive benchmarking indicate that the organization

is better than the overall industry and a world leader?
6.07 Does the organization measure and track supplier results and
quality?
6.08 How does the supplier's quality results compare to that of

other comparable suppliers?
m Baldrige Model
Avg % Total Total

80%
70% 75% 70 53
70%
70% 70% 50 35
70%
60% 65% 25 16
70%
60% 65% 35 23
180 127
tomer satisfaction and loyalty.

out the entire company, including
ative trend is immediately acted
positive trends in making
lts in making processes very
er surveys and other indicators

and benchmarks reveal that the
s of the organization have
higher productivity, lower costs,
ndards are being met. Comparative

of the company. All major key
customer surveys indicate some

e improvements are needed.
nitoring results throughout the
not favorable. Key indicators such
asured. No comparative benchmarks
improvements.
Criteria
Score
80%
70%
(cycle times,
70%
70%
70%
60%
70%
60%
Category 7: Customer (300 points)

Summarize Customer Scores
Customer Expectations:
7.01 Determining customer requirements
7.02 Determining new products and services
7.03 Processes for determining customer requirements
Customer Relations Management:
7.04 Approaches and methods for building relationships
7.05 Standards and processes for engaging with customers
7.06 Maximize opportunities for customers to engage
7.07 Quality of customer relationship
7.08 Use of customer feedback
7.09 Internal support for personnel dealing with customers
7.10 Evaluation of customer relationships
Customer Commitment:
7.11 Building trust and confidence with customers
7.12 Image and reputation for quality
Determining Customer Satisfaction:
7.13 Determining customer satisfaction by segment
7.14 Customer satisfaction in relation to competition
7.15 Evaluation methods for competitive comparisons
Customer Satisfaction Results:
7.16 Trending analysis on satisfaction and retention
7.17 Use of adverse customer indicators
Customer Satisfaction Comparison:
7.18 Customer satisfaction metrics vs. competition
7.19 Measurement of customer turnover or churn
7.20 Market share trends in relation to quality
Customer Scoring
80% to 100% range:

A complete set of customer metrics (surveys, focus groups, exit interviews, etc.) reveals very strong
performance for meeting customer needs and requirements. Additionally, measurements are tracking
customer repurchase patterns and other behavior relative to the competition and these measurements
are also very favorable. Management is very focused on the customer. Customer service and relationship
training and development is mandated throughout the entire company. The organization is very
customer driven, constantly trying to stay connected to the customer for improving quality and service.
Products and services have reputations for quality in the eyes of the customer, leading to customer loyalty.
60% to 80% range:

Effective customer feedback systems are in place, ensuring continuous improvement with customer service.
Management is very focused on the customer, promoting programs that enhance customer relationships.
Senior management is very receptive to new ideas on how to improve customer service. Specific customer
related training is available and customers have easy to access resources for resolving their issues.
40% to 60% range:

Customer surveys are used throughout the company for continuous improvements. Customer contacts are
well trained for servicing the customer base. The company promotes customer awareness and satisfaction.
Systems are in place for moving customer feedback into various product and service lines.
20% to 40% range:

Most customers are identified; however there is no overall system for collecting continous feedback to
improve customer service. Quality standards are improved for some products and services in order to
improve customer service. The future needs of customers is not considered. Senior management is not
always receptive to new ideas for improving customer service. Some customer groups are segmented and
managed differently than others.
0% to 20% range:
Few if any customer standards are in place. Most of the focus is on solving a customer's problem once it
occurs, but little emphasis is placed on trying to improve the overall process and prevent the same problem
from recurring again. Customer feedback is poor and rarely considered when developing service and products.
The main form of customer feedback is customer complaints. Products and services have bad reputations
for quality in the eyes of the customer.
Enter Scores for Customer Criteria
Criteria
7.01 How does the organization determine current and long-term

customer requirements?
7.02 How does the organization determine new products and services
as well as new features for existing products and services?
7.03 How does the organization improve its processes for

identifying customer needs and requirements?
7.04 How does the organization build strong relationships with its
customers?
7.05 What does the organization do to develop customer service

standards and processes that gives the organization the
ability to engage with the customer?
7.06 How does the organization maximize opportunities for

customers to comment and engage with the business?
7.07 How effective is your contact with the customer regarding your
7.08 How does the organization use customer feedback and

complaints?
7.09 How does the organization ensure that customer contact

employees are properly aligned with customer segments,
including proper training and tools for dealing with specific
customers?
7.10 How does the organization evaluate its relationships with

its customers?
7.11 How does the organization build trust and confidence in its
7.12 How does the organization evaluate and improve the customer's
perception of the organization's commitment to quality?
7.13 How does the organization determine customer satisfaction

within its customer segments?
7.14 How does the organization's customer satisfaction rating compare

to its competition?
7.15 How does the organization evaluate and improve its approach to
analyzing customer satisfaction in relation to the competition?
7.16 Does the organization collect trend data on customer

satisfaction and customer retention?
7.17 Does the organization measure negative related attributes

of customer service, such as complaints, refunds, claims,
returns, failure to rebuy or repeat, downgrades, etc.?
7.18 Does the organization measure customer satisfaction with

products and services in relation to the competition's
customer satisfaction with its products and services?
7.19 Does your organization measure customer turnover?

7.20 Do trends indicate that the organization's market share is

increasing as a result of quality improvement initiatives?
m Baldrige Model
Avg % Total Total

70%
70%
60% 67% 35 23
70%
70%
60%
70%
80%
70%
70% 70% 65 46
70%
80% 75% 15 11
70%
80%
70% 73% 30 22
70%
60% 65% 85 55
60%
70%
70% 67% 70 47
Total Points 300 204
) reveals very strong

urements are tracking
nd these measurements
er service and relationship
anization is very
ing quality and service.
leading to customer loyalty.
ement with customer service.

ce customer relationships.
r service. Specific customer
esolving their issues.
ents. Customer contacts are

awareness and satisfaction.
ervice lines.
continous feedback to
and services in order to
enior management is not
groups are segmented and
ustomer's problem once it

d prevent the same problem
eveloping service and products.
vices have bad reputations
Criteria
Score
70%
70%
60%
70%
70%
60%
70%
80%
70%
70%
70%
80%
70%
80%
70%
70%
60%
60%
70%
70%
`
SWOT Assessment Using
the Malcolm Baldrige Model
Quick Overview
The Malcolm Baldrige Quality Improvement Program provides guidelines for improving
and scored for assessing overall quality performance within the organization. The 91 cri
Maximum Score
1.0 Leadership 95
2.0 Information and Analysis 75
3.0 Strategic Planning 60
4.0 Human Resource Capital 150
5.0 Process Management 140
6.0 Quality and Operating Results 180
7.0 Customer Satisfaction 300
Total Points 1000
Color Scoring
Your percentage scores are highlighted in one of three colors:
Good Score falls in a range between => 70%

Caution falls in a range between => 50%
Poor Score falls in a range between => 0%
Feel free to change these ranges to whatever you like!
SWOT Summary Analysis

350
300
250
200
150
100
50
0
Leadership Information and Strategic Human Resource
Analysis Planning Capital
Maximum Score Your Assess

100
50
0
Leadership Information and Strategic Human Resource
Analysis Planning Capital
Maximum Score Your Assess

nt Program provides guidelines for improving quality within an organization. 91 criteria are evaluated
rformance within the organization. The 91 criteria fall into 7 categories, as summarized below:
Your Assessment Score Percentage

59 62% Color Scoring:
50 67%
39 65% Good overall score
98 65% Caution - needs to improve
105 75% Poor - needs major improvement
127 70%
204 68%
682 68%
100%
69%
49%
whatever you like!
SWOT Summary Analysis
nd Strategic Human Resource Process Quality and Customer

Planning Capital Management Operating Satisfaction
Results
Maximum Score Your Assessment Score

nd Strategic Human Resource Process Quality and Customer
Planning Capital Management Operating Satisfaction
Results
Maximum Score Your Assessment Score

For the Year Ended: 2002
Revenue:
Gross Sales $2,010,000
Less: Sales Returns and Allowances ($50,000)
Net Sales $2,060,000
Cost of Goods Sold:
Direct Material Cost $320,000
Direct Labor Cost $500,000
Other Direct Costs $125,000
Cost of Goods Sold $945,000
Gross Profit (Loss) $1,115,000
Expenses:
Advertising $5,000
Amortization $3,000
Bad Debts $1,000
Bank Charges $1,000
Charitable Contributions $2,133
Commissions $11,000
Contract Labor $4,000
Credit Card Fees $6,000
Delivery Expenses $1,000
Depreciation $3,000
Dues and Subscriptions $1,000
Exec/Owner salaries $190,000
Insurance $1,000
Interest $1,000
Maintenance $1,000
Miscellaneous $6,000
Office Expenses $43,000
Operating Supplies $18,000
Payroll Taxes $14,000
Permits and Licenses $6,000
Postage $6,000
Professional Fees $100
Property Taxes $5,557
Rent $4,000
Repairs $6,000
Telephone $1,000
Travel $3,000
Utilities $1,000
Vehicle Expenses $6,000
Wages $90,000
Other $0
Total Expenses $440,790
Net Operating Income $674,210
Other Income:
Gain (Loss) on Sale of Assets $10,000
Interest Income $5,000
Total Other Income $15,000
Income before tax $689,210
Income taxes $137,842
Page 51
Net Income (Loss) $551,368
Page 52

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All input cells are highlighted in: 0%

Cells with formulas are highlighted in:

Move your cursor over the cell with a red triangle.

Each of the 91 criteria is assigned a percentage score based on two areas:

2) Actual Results - Measured outcomes and performance levels clearly demonstrate

General breaking points in percentage scoring:

Best in Class 100% Very strong improvement process supported

Excellent 80% Solid approach and deployment of quality

Below Average 40% Implementation is generally working and

Poor 20% Implementation has major gaps, not going

Zero Base 0% No improvements are planned for the

ork your way through each

es to help you understand

Outstanding performance improvements

Performance levels are very solid in most

Some areas of the business have reported

Very few or no areas of the business have

No measurements in place to track any

Category 1: Leadership (95 points)

80% to 100% range:

60% to 80% range:

40% to 60% range:

Enter Scores for Leadership Criteria

1.01 To what extent is senior level management involved in the

1.02 Is senior level management integrating the values of quality into

1.03 Is senior level management effectively communicating the

1.04 How effective is senior management in developing and reviewing

1.05 Do you have specific guidelines and standards for holding

1.06 A focus on the customer and quality are effectively communicated to

1.09 The organization has strongly integrated ethics, public responsibility,

1.11 The organization is considered a leading corporate citizen within its

Avg % Total Total

within the company.

y improvement and how

managers are meeting

major strategic goal.

Category 2: Information and Analysis (75 points)

Information & Analysis Scoring

80% to 100% range:

60% to 80% range:

40% to 60% range:

20% to 40% range:

Enter Scores for Information & Analysis Criteria

2.01 Does the organization measure data related to customers, products,

2.05 How extensive is the competitive benchmarking data?

2.06 Is the organization using benchmarking to improve critical processes,

2.08 Does the organization systematically analyze data for determining

2.09 Is there a continuous process of improving data collection and

tion. Processes for data and

For the most part, technologies

lete, and useful data. Many

data. Data is limited in how it

ng, and other

Category 3: Strategic Planning (60 points)

Strategic Planning Scoring