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National Institute of Standards and Technology
Department of Commerce
Baldrige National Quality Program
Baldrige Award
Application Forms
The Malcolm Baldrige National Quality Award
The Malcolm Baldrige National Quality Award is given
annually to recognize U.S. organizations for performance
excellence. Organizations apply in one of six eligibility
categories:
■
manufacturing
■■ service
■■ small
business
■■ education
■■ health
care
■■ nonprofit
The President of the United States traditionally presents
the Award at a ceremony in Washington, D.C. The Award
crystal, composed of two solid crystal prismatic forms,
stands 14 inches tall. The crystal is held in a base of black
anodized aluminum, with the Award recipient’s name
engraved on the base. A 22-karat gold-plated medallion
is captured in the front section of the crystal. The medal
bears the inscriptions “Malcolm Baldrige National Quality
Award” and “The Quest for Excellence” on one side and
the Presidential Seal on the other.
Award recipients may publicize and advertise their Awards.
Recipients are expected to share information about
their successful performance strategies with other U.S.
organizations.
Increase Your Insight into the
Baldrige Criteria
To gain insight into the Baldrige Criteria for Performance Excellence and the Baldrige Award process, you
may nominate a senior member of your organization
to be noncompetitively appointed to the Malcolm
Baldrige National Quality Award Board of Examiners.
The nominee must not have served previously
as a Baldrige Examiner and must fully participate
as a member of the board; this includes attending
Examiner Preparation in Gaithersburg, Maryland, and
participating in the evaluation of an organization that
has applied for the Award.
Board appointments provide a significant opportunity
for your organization to learn about the Criteria
and the evaluation process. Examiners gain a better
understanding of the Baldrige Criteria, see how the
Criteria are used in high-performing organizations,
and develop a network of professional colleagues. To
take advantage of this opportunity, Examiners make
a substantial time commitment. They commit to
a minimum of 114 hours from April to December,
including approximately 40 hours in April/May
for self-study, three to four days in May to attend
Crystal by Steuben
Examiner Preparation, and 50–70 hours from June
through September to complete the Independent
and Consensus Review. If requested by the Program,
Examiners also participate in a Site Visit Review of
approximately nine days. All board appointments are
for one year only, and your organization or the nominee must cover travel and housing expenses incurred
for Examiner Preparation.
To take advantage of this opportunity, submit your
Eligibility Certification Package by March 1, 2010.
Baldrige National Quality Program
National Institute of Standards and Technology • Department of Commerce
January 2010
Congratulations!
By supplementing your copy of the 2009–2010 Criteria for Performance Excellence with a copy of
the 2010 Baldrige Award Application Forms booklet, you have taken the second step in using the
Baldrige process to improve your organization’s performance and contribute to its sustainability in a
challenging economy. Now it is time to consider taking the next step—applying for the Award.
For a nominal application fee, determined by the size and nature of your organization, your
application will receive at least 300 hours of review by several experts selected for their depth and
breadth of knowledge. Site-visited organizations receive more than 1,000 hours of in-depth review,
and each applicant receives an extensive feedback report.
Because of the learning inherent in completing the application and in the feedback you will
receive, the effort that goes into applying for the Award should result in a significant return on
your investment. The process will help you prioritize opportunities for improvement and identify
strengths to celebrate. As a result, the rate at which your organization improves should accelerate.
To further increase your organizational learning, we will provide an opportunity for a senior
employee of your organization to be a member of the 2010 Board of Examiners. If you are
interested in taking advantage of this opportunity, you must submit your Eligibility Certification
Form on or before March 1, 2010. You may use the forms in this document or the Microsoft Word
versions of these forms, which are available online at www.baldrige.nist.gov/Award_Application.
Every Baldrige Award recipient’s journey toward performance excellence includes using the
application process as part of the organization’s improvement and strategic planning process. Many
of our recipients apply several times before receiving the Award, while others receive the Award on
their first attempt. They all report that the process is worthwhile. The Baldrige process is designed
to make each applicant a “winner” by raising its performance to a higher level. Consider making the
decision to apply now, and accelerate the rate of your organization’s performance improvement. As
thousands of organizations can attest, your organization will be better for it!
Sincerely yours,
Harry S. Hertz, Director
Baldrige National Quality Program
Baldrige National Quality Program • NIST • Administration Building, Room A600 • 100 Bureau Drive, Stop 1020 • Gaithersburg, MD 20899-1020
Telephone: (301) 975-2036 • Fax: (301) 948-3716 • E-mail: [email protected] • Web site: www.nist.gov/baldrige
Contents
1
The Malcolm Baldrige National Quality Award and Award Process
3
2010 Baldrige Award Cycle at a Glance
4
Fees for the 2010 Award Cycle
5
2010 Eligibility Certification Q&A
8
2010 Eligibility Certification Form
19
2010 Eligibility Certification Package Checklist
20
North American Industry Classification System (NAICS) Codes
21
2010 Award Application Q&A
25
2010 Application Form
27
2010 Award Application Package Checklist
28
How to Obtain Baldrige National Quality Program Materials
30
The Quest for Excellence® XXII Conference
30
Paperwork Reduction Act Statement
The Malcolm Baldrige National Quality Award logo and the phrases
“The Quest for Excellence” and “Performance Excellence” are trademarks and
service marks of the National Institute of Standards and Technology.
IV
The Malcolm Baldrige National Quality Award and Award Process
What is the Malcolm Baldrige
National Quality Award?
What groups are involved in the
Award process?
The Malcolm Baldrige National Quality Award, created
by Public Law 100-107 in 1987, is the highest level of
national recognition for performance excellence that a
U.S. organization can receive.
National Institute of Standards and Technology
(NIST): The U.S. Department of Commerce is responsible for the Baldrige National Quality Program and
the Award. NIST, an agency within the Department of
Commerce, manages the Program.
The Award focuses on performance in six key areas: product outcomes, customer-focused outcomes, financial and
market outcomes, workforce-focused outcomes, process
effectiveness outcomes, and leadership outcomes. It is not
given for specific products or services. To be selected as an
Award recipient, an organization must have a system that
ensures continuous improvement in overall performance
in delivering products and/or services and that provides an
approach for engaging and responding to customers and
stakeholders.
American Society for Quality: Under contract to NIST,
the American Society for Quality assists in administering
the Award Program.
Board of Examiners: The Board of Examiners evaluates
Award applications and prepares feedback reports for
applicant organizations. The board consists of leading
experts from U.S. businesses and health care, education,
and nonprofit organizations.
Panel of Judges: This panel, which is part of the Board
of Examiners, selects Award applicants to undergo site
visits and recommends Award recipients. The Secretary of
Commerce appoints the Judges, who represent all sectors
of the U.S. economy.
Up to 18 Awards may be given annually across six eligibility categories: manufacturing, service, small business,
education, health care, and nonprofit. Previous Award
recipients nominated for a subsequent Award are not
included in the cap of 18.
Board of Overseers: The Secretary of Commerce
appoints this board, which provides oversight on the
Baldrige National Quality Program for the U.S. Department of Commerce. The board consists of distinguished
leaders from all sectors of the U.S. economy.
Why was the Award established?
The Award was established to promote the awareness of
performance excellence as an increasingly important element in competitiveness. The Award not only recognizes
organizations with exceptional performance strategies but
also aims to increase the understanding of the requirements for performance excellence. To accomplish this, the
Award promotes information sharing on successful performance strategies and the benefits of using these strategies.
The Foundation for the Malcolm Baldrige National
Quality Award: The Foundation raises and manages
funds that permanently endow the Award Program.
How do the Education Criteria and the
Health Care Criteria differ from the
Business/Nonprofit Criteria?
Which organizations may participate?
Organizations that may apply include privately and
publicly owned for-profit businesses and nonprofit organizations; for-profit and nonprofit public, private, and government education organizations that provide education
services to students; and for-profit and nonprofit public,
private, and government health care organizations that
are primarily engaged in providing medical, surgical, or
other health care services directly to people. All applicant
organizations must be located in the United States or its
territories. Subunits and internal suppliers of organizations
may apply if they meet certain requirements.
All three versions of the Criteria are closely aligned. The
seven Categories share the same titles in all three Criteria
versions. Variations in terminology, however, reflect differences among the three sectors. For example, the Criteria
for Performance Excellence (referred to as the Business/
Nonprofit Criteria) refer to “customers.” Those customers
are further identified as “students and stakeholders” in the
Education Criteria for Performance Excellence and “patients
and other customers” in the Health Care Criteria for
Performance Excellence.
1
What is the basis for the Criteria?
How do organizations apply?
The Criteria are developed from the learning of p
rivateand public-sector organizations that are working to
achieve performance excellence. The Criteria reflect
validated, leading-edge practices for achieving performance excellence.
Applying for the Award is a two-part process. The first
part is eligibility certification, when the organization certifies that it meets eligibility requirements. The form for
certifying eligibility begins on page 8. Eligibility Certification Packages will be accepted beginning January 4 (see
the due dates below).
How do organizations benefit
from applying for the Award?
The second part consists of preparing and completing an
Award Application Package, which contains
Each applicant organization gains an outside perspective
on itself based on 300 to 1,000 hours of review by members of the Board of Examiners. The results of this review
are synthesized in a feedback report outlining strengths
and opportunities for improvement based on the Criteria.
Organizations often use feedback reports in their strategic
planning process to focus on their customers and improve
results, as well as to help energize and guide organizational
improvement efforts.
■■ the
application,
■■ the
appropriate fees, and
■■ proof
of the date you send the package.
The application, which begins on page 25, must summarize the organization’s practices and results in response
to the requirements delineated in the Items of the Criteria
for Performance Excellence. Your application will not be
accepted unless you complete eligibility certification by
the due date.
How are Award recipients selected?
If you plan to apply for the Award in 2010, you will also
need the appropriate 2009–2010 Criteria for Performance
Excellence booklet for your organization. See page 28 for
ordering information.
A team from the Board of Examiners reviews each Award
application. The higher-scoring organizations receive site
visits. The Panel of Judges reviews information obtained
from the organizations during these site visits and recommends Award recipients. The Secretary of Commerce then
makes the final selection of Award recipients.
Are the identity of applying
organizations and the information
in their applications made public?
2010 Due Dates
Eligibility Certification Package
with a nomination to the
Board of Examiners
without a nomination
The identity of all organizations remains confidential
unless they receive the Award. The Baldrige Program
treats all information submitted by applicants as strictly
confidential. The Program has numerous protocols and
processes in place to protect the organizations and help
ensure the integrity of the Award.
Award Application Package
on CD
on paper
What is expected of Award recipients?
Award recipients are required to share information
about their exceptional performance practices with other
U.S. organizations but do not need to share proprietary
information, even if it was part of their Award application.
The principal mechanisms for sharing information are
the annual Quest for Excellence® Conference, described
on page 30, and several one-day regional conferences.
Sharing beyond The Quest for Excellence Conference is
voluntary.
2
March 1
April 6
May 6
May 20
2010 Baldrige Award Cycle at a Glance
Eligibility Certification
Submit the Eligibility Certification Package to certify your organization’s eligibility
March 1 (with a nomination to the in one of six Award categories: manufacturing, service, small business, education,
health care, or nonprofit.
Board of Examiners)
April 6 (without a nomination)
Award Application
Submit 30 copies (an increase over the 25 requested in previous years) of the
application or a CD containing a PDF file of the application.
Independent and
Consensus Review
Members of the Board of Examiners review the application (1) independently and
(2) as a team led by a Senior Examiner. Based on these reviews, the Panel of Judges
determines which organizations receive site visits.
Site Visit Review
Organizations receiving site visits provide updates for all results in the application.
A six- to eight-member team of the Board of Examiners, led by a Senior Examiner,
goes on-site to verify and clarify the information in the application. Site visits consist
primarily of a review of pertinent records and data, as well as interviews. The team
submits its report to the Panel of Judges.
Judges’ Review
The Panel of Judges conducts final reviews and recommends Award recipients to the
Director of the National Institute of Standards and Technology (NIST), who conveys the recommendations to the Secretary of Commerce. The Secretary of Commerce and the Director of NIST determine whether recommended Award recipients
are appropriate role models and, therefore, should receive the Award. The purpose of
this determination is to help preserve the Award’s integrity.
May 6 (CD)
May 20 (paper)
June–September
October
November
In determining role models, NIST checks records on site-visited applicants and the
highest-ranking official to verify their compliance with legal and various regulatory
requirements. The Secretary of Commerce then selects the Award recipients.
Feedback Reports
September–December
Members of the Board of Examiners prepare feedback reports detailing organizationspecific strengths and opportunities for improvement based on the organizations’
responses to the Criteria for Performance Excellence.
Each organization receives a feedback report after it is determined either that the
organization will not move to the next level of review or that it is an Award recipient.
Award Ceremony
Spring
The President of the United States traditionally presents the Awards at a special
ceremony in Washington, D.C.
3
Fees for the 2010 Award Cycle
Fees ($)
Eligibility
Certification
(nonrefundable)
Application*
Supplemental
Section**
Site Visit***
7,000
2,000
20,000–40,000
3,500
1,000
15,000–20,000
K–12
1,250
250
1,500
Higher education
3,500
1,000
15,000–20,000
7,000
2,000
20,000–40,000
3,500
1,000
15,000–20,000
. 500 staff
7,000
2,000
20,000–40,000
# 500 staff
3,500
1,000
15,000–20,000
. 500 staff
7,000
2,000
20,000–40,000
# 500 staff
3,500
1,000
15,000–20,000
Award Category
Manufacturing
Service
Small business
Education, nonprofit
Education, for-profit
. 500 faculty/staff
150
# 500 faculty/staff
Health care
Nonprofit
Yearly eligibility and application fee adjustments are based on changes in the Consumer Price Index.
*Covers expenses associated with the review of applications and the development of feedback reports. Include an additional processing fee of $1,250 if you submit your application on a CD.
**Not applicable for most organizations. See page 13.
***Paid only by applicants receiving site visits. The amount depends on the number of sites, the number of Examiners
assigned, the duration of the visit, and other factors. The fee is due to the American Society for Quality two weeks after
the site visit.
4
2010 Eligibility Certification Q&A
What is the Eligibility
Certification Package?
What is the submission deadline for the
2010 Eligibility Certification Package?
In the Eligibility Certification Package, your first official
step toward applying for the Malcolm Baldrige National
Quality Award, you provide enough information to
determine whether your organization is eligible to apply.
The Baldrige National Quality Program also uses the
information to avoid conflicts of interest when assigning
Examiners to your application. In addition, the Eligibility
Certification Form in the package presents a useful profile
of your organization and often is the first information read
by the Examiners who evaluate your application.
Send your Eligibility Certification Package by April 6,
2010 (March 1, 2010, for eligibility certification with
a nomination to the Board of Examiners; see page
16). Include proof of the mailing date (see page 18). We
encourage you to submit the Eligibility Certification
Package as early as possible.
What types of organizations are eligible
to apply for the Award?
Organizations that are headquartered in the United States,
including U.S. subunits of foreign organizations, may
apply for the Award. For eligibility purposes, overseas U.S.
military installations and embassies do not constitute U.S.
territories.
The Eligibility Certification Package consists of the
following materials, which the Baldrige Program keeps
confidential:
■■ a
completed Eligibility Certification Form (see
page 8) signed by your organization’s highest-ranking
official,
In addition, to be eligible, your organization must
■■ have
existed for one year (i.e., at least since April 5,
2009),
■■ an
organization chart and other required documents
described in the Eligibility Certification Form,
■■ the
■■ have
the operational practices associated with all
of its major organizational functions available for
examination in the United States or its territories,
and
nonrefundable fee of $150, and
■■ proof
of the date you send the package (see page 18).
The Baldrige Program relies on the information submitted in the Eligibility Certification Form. If at any time
during the Award cycle the Program finds the information
to be inaccurate in a way that deems your organization
ineligible, your organization will forfeit Award eligibility.
In that case, your organization will receive a feedback
report only.
■■ be
able to share information (for the purpose of the
application) on the seven Criteria Categories at your
organization’s U.S. facilities and at The Quest for
Excellence Conference®.
Eligible organizations fall into six categories: three in
business (manufacturing, service, and small business) plus
the education, health care, and nonprofit categories.
Will the Baldrige Program notify me that
my organization is eligible?
Business
Eligible for-profit businesses include publicly or privately
owned corporations, joint ventures, sole proprietorships,
partnerships, and holding companies.
Your organization will self-certify its eligibility to apply for
the Award; you do not need notification by the Program
to begin preparing your application. However, your
application will not be accepted unless you submit the
Eligibility Certification Package by the due date. Program
staff members are available by telephone ([877] 237-9064,
option 3) to answer questions about the forms or the process. They will review your package promptly and contact
your designated Eligibility Contact Point or alternate if it
needs clarification.
■■ Manufacturing
organizations produce and sell
manufactured products or manufacturing processes,
or produce agricultural, mining, or construction
products. (See the North American Industry
Classification System [NAICS] codes on page 20.)
■■ Service
organizations provide or sell services. If your
organization is a manufacturer and a service provider,
choose your eligibility category based on the activity
that provides the larger percentage of your sales.
5
■■ Small
business organizations have 500 or fewer paid
employees, are engaged in manufacturing and/or the
provision of services, and are discrete, independent
entities.
If your nonprofit organization provides direct education or direct health care services in addition to other
nonprofit services, choose your eligibility category based
on the activity that represents the larger percentage of the
budget. For example, if a state department of education
allocates 70 percent of its budget to certifying teachers and
educational programs and 30 percent to directly educating
students, it is eligible in the nonprofit category.
Education
Organizations eligible in the education category are forprofit and nonprofit public, private, and government organizations that devote more than 50 percent of their faculty
and staff members and/or budget to providing teaching
and instructional services directly to students. Examples
are elementary and secondary schools and school districts;
colleges, universities, and university systems; schools or
colleges within universities; professional schools; community colleges; and technical schools. Departments within
schools or colleges are ineligible.
The U.S. Department of Commerce, the American
Society for Quality, and their subunits are not eligible to
apply for the Baldrige Award.
Are subunits—units or divisions of larger
(“parent”) organizations—eligible to apply
for the Award?
Education and health care subunits are eligible as noted
in the Education and Health Care sections above.
Other subunits are eligible to apply if they meet certain
requirements.
Education organizations may choose to apply in the
education category, using the Education Criteria for
Performance Excellence, or, as appropriate, in the service,
small business, or nonprofit category, using the Criteria
for Performance Excellence (the Business/Nonprofit
Criteria).
The larger organization that holds or has control of a
subunit is the “parent”—the highest level of an organization that is eligible to apply for the Award. In the nonprofit category, examples of parent organizations are the
U.S. Department of Defense (not the Department of the
Army), the State of Maryland (not the Maryland Department of Transportation), and the Montgomery County
Government (not the Montgomery County Health
Department).
Health Care
Organizations eligible in the health care category are
for-profit and nonprofit public, private, and government
organizations that devote more than 50 percent of their
staff members and/or budget to providing health care
services directly to people. Examples are health systems,
hospitals, health maintenance organizations, long-term
care facilities, health care practitioners’ offices, home
health agencies, and dialysis and ambulatory surgery
centers.
To be eligible, subunits must
■■ be
recognizable as discrete entities;
■■ be
easily distinguishable from the parent and its other
subunits;
Organizations that do not provide health care services
directly, such as social service agencies, health insurance
companies, or medical/dental laboratories, are ineligible
in this category but may be eligible in the service, small
business, or nonprofit category.
■■ be
self-sufficient enough to be examined in all seven
Criteria Categories;
■■ have
a clear definition of “organization” reflected in
their literature; and
Health care organizations may choose to apply in the
health care category, using the Health Care Criteria for
Performance Excellence, or, as appropriate, in the service,
small business, or nonprofit category, using the Business/
Nonprofit Criteria. If your organization is both an education organization and a provider of health care services,
choose your eligibility category based on the activity that
represents the larger percentage of the budget.
■■ function
as business or operational entities, not as
activities assembled to write an Award application.
In addition, subunits other than those in education and
health care must
■■ have
500 or more employees, or
■■ qualify
■■ be
as small businesses as described below, or
in manufacturing or service and (1) employ at least
25 percent of the parent’s total workforce and (2) sell
or provide 50 percent or more of their products or
services outside the applying subunit, the parent, and
other organizations owning or having financial or
organizational control of the applying subunit or the
parent.
Nonprofit
Nonprofit and government organizations, including local,
state, and federal government agencies; trade associations;
charitable organizations; social service agencies; credit
unions; and professional societies are eligible to apply in
this category.
6
A 2009 change in eligibility permitted a broader spectrum
of organizations to apply for the Award. Specifically,
internal suppliers and support functions may apply as long
as they have at least 500 employees and meet the other
eligibility requirements. If your organization was deemed
ineligible in 2009 based on these changes, you may
participate in the Award process in 2010.
If subunits of the same parent submit Award applications
beyond the limits noted, the parent organization may
decide which subunit(s) continue through the Award
process. If the parent organization does not make this
decision, the Baldrige Program will designate applications
with the earliest proof of mailing date as Award applicants.
If my organization receives the Award,
is it eligible to apply again?
Manufacturing and service subunits with fewer than 500
employees are eligible in the small business category if
they
All Award recipients are ineligible to apply for the Award
again for five years. For example, an organization that
received the Award in 2009 may not reapply until 2015.
However, during those five years, recipients may submit
Award applications annually to receive feedback reports
outlining their strengths and opportunities for improvement based on the Criteria for Performance Excellence.
After five years, recipients may apply for the Award or, if
they wish, for feedback only.
■■ were
independent before acquisition by the parent
and continue to operate independently under their
own identity or
■■ are
separately incorporated and distinct from the
parent’s other subunits.
Is a parent organization eligible to apply
for the Award if one or more of its
subunits are applying?
Similarly, if a subunit with more than 50 percent of the
total employees of the parent receives an Award, the parent organization and all its subunits are ineligible to apply
for the Award for five years. However, they may submit
Award applications to receive feedback only during those
five years. If any subunit receives an Award, that subunit
and all its subunits are ineligible to apply for the Award for
five years, but they may also submit Award applications to
receive feedback only during those five years.
A subunit and its parent may submit Eligibility Certification Packages in the same year, but only one may apply for
the Award in that year.
Are multiple subunits of the same parent
eligible to apply for the Award in
the same year?
All subunits of a parent may submit Eligibility Certification Packages in the same year, but the number of subunits
that may apply for the Award is based on the size of the
parent’s workforce (see the table below).
If the parent,
including all
subunits, has
0–1,000 employees,
1 subunit per category
1,001–20,000 employees,
2 subunits per category
more than 20,000
employees,
2 subunits per category for the first
20,000 employees, plus 1 subunit per
category for each 20,000 employees or
fraction thereof above 20,000
7
may apply for the Award, up
to a cap of 5 applications per
parent.
2010 Eligibility Certification Form
Page E-1 of 11
Malcolm Baldrige National Quality Award
OMB Clearance #0693-0006
Expiration Date: April 30, 2013
1. Your Organization
Official name
Headquarters
address
Other name
Prior name
(if changed within the past 5 years)
2. Highest-Ranking Official
Mr. Mrs. Ms. Dr.
Name
Address Same as above
Job title
E-mail
Telephone
Fax
3. Eligibility Contact Point
Designate a person who can answer inquiries about your organization. Questions from your organization and requests from the
Baldrige Program will be limited to this person and the alternate identified below.
Mr. Mrs. Ms. Dr.
Name
Address Same as above
Job title
E-mail
Telephone
Overnight Same as above (Do not use a
mailing P.O. Box number.)
address
Fax
If you are unable to respond to any item,
call (877) 237-9064, option 3, before submitting your form.
8
2010 Eligibility Certification Form
Page E-2 of 11
4. Alternate Eligibility Contact Point
Mr. Mrs. Ms. Dr.
Name
Telephone
Fax
5. Application History
a. Has your organization previously submitted an Eligibility Certification Package?
Yes. Indicate the year(s) and the organization’s name at that time, if different.
Year(s)
Name(s)
No
Don’t know
b. Has your organization ever received the Malcolm Baldrige National Quality Award?
Yes. Did your organization receive an Award in 2004 or earlier?
Yes. Your organization is eligible to apply for the Award.
No. I f your organization received the Award during 2005–2009, it is eligible to apply for feedback only. Contact
the Baldrige Program at (877) 237-9064, option 3, if you have questions.
No
c. (Optional; for statistical purposes only) Has your organization participated in a state or local Baldrige-based award
process?
Yes. Years:
No
6. Award Category and Criteria Used
See pages 5–6.
a. Award category (Check one.)
Your education or health care organization may use the Business/Nonprofit Criteria and apply in the service, small business, or
nonprofit category. However, you probably will find the sector-specific Criteria more appropriate.
For-Profit
Nonprofit
Manufacturing
Nonprofit
Service
Education
Small business (# 500 employees)
Health Care
Education
Health care
Eligibility Package due April 6, 2010 (March 1 if you nominate an Examiner)
Award Package due May 20, 2010 (May 6 on CD)
9
2010 Eligibility Certification Form
Page E-3 of 11
b. Criteria used (Check one.)
Criteria for Performance Excellence (Business/Nonprofit Criteria)
Education Criteria for Performance Excellence
Health Care Criteria for Performance Excellence
c. Industrial classifications. List up to three of the most descriptive NAICS codes for your organization (see page 20).
These are used to identify your organizational functions and to assign applications to Examiners.
7. Organizational Structure
a. Total number of paid employees, staff, and/or faculty:
b. Sales, revenue, or budget
For the preceding fiscal year, the organization had
in
up to $1 million
$1.1 million–$10 million
sales
$10.1 million–$100 million
$100.1 million–$500 million
revenue
$500.1 million–$1 billion
more than $1 billion
budget
Align your responses below to item 12, Site Listing. Count offices or other work areas located near each other as one site if you consider
them as one for business and personnel purposes.
Inside U.S./territories
Outside U.S./territories
c. Number of sites
d. % of employees
e. % of physical assets
f. Attach a line-and-box organization chart that includes divisions or unit levels. In each box, include the name of the
unit or division and the name of its leader. Do not use shading or color in the boxes.
If you are unable to respond to any item,
call (877) 237-9064, option 3, before submitting your form.
10
2010 Eligibility Certification Form
Page E-4 of 11
g. The organization is _____ a larger parent or system. (Check all that apply.)
not a subunit of (Proceed to item 8.)
a subsidiary of
controlled by
administered by
owned by
a division of
a unit of
a school of
other _____________________
Parent
organization
Address
Total number of
workforce
members
(including subunits but excluding
joint ventures)
Highest-ranking
official
Job title
h. Is your organization the only subunit of the parent intending to apply for the Award? Based on the parent organization’s size, the Program accepts multiple applications from subunits, all Award categories combined (see page 7).
Yes No (Briefly explain below.) Don’t know
i. Attach a line-and-box organization chart(s) showing your organization’s relationship to the parent’s highest
management level, including all intervening levels. In each box, include the name of the unit or division and its
leader. Do not use shading or color in the boxes.
j. Considering the organization chart, briefly describe below how your organization relates to the parent and its
other subunits in terms of products, services, and management structure.
k. Provide the title and date of an official document (e.g., an annual report, organizational literature, a press
release) that clearly defines your organization as a discrete entity.
Title
Date
Attach a copy of relevant portions of the document. If you name a Web site as documentation, print and attach
the relevant pages.
Eligibility Package due April 6, 2010 (March 1 if you nominate an Examiner)
Award Package due May 20, 2010 (May 6 on CD)
11
2010 Eligibility Certification Form
Page E-5 of 11
l. Briefly describe the major functions your parent or its other subunits provide to your organization, if appropriate.
Examples are strategic planning, business acquisition, research and development, facilities management, data gathering and
analysis, human resource services, legal services, finance or accounting, sales/marketing, supply chain management, global
expansion, information and knowledge management, education/training programs, information systems and technology
services, curriculum and instruction, and academic program coordination/development.
8. Eligibility Determination
See also pages 5–7.
a. Is your organization a distinct organization or business unit headquartered in the United States?
Yes No. Briefly explain.
b. Has your organization officially or legally existed for at least one year, or since April 5, 2009?
Yes No
c. Can your organization respond to all seven Baldrige Criteria Categories? That is, does your organization have
processes and related results for its unique operations, products, and/or services? For example, does it have an independent leadership system to set and deploy its vision, values, strategy, and action plans? Does it have approaches
for engaging customers and the workforce, as well as for tracking and using data on the effectiveness of these
approaches?
Yes No
d. If some of your organization’s activities are performed outside the United States or its territories and your organization receives a site visit, will you make available sufficient personnel, documentation, and facilities in the United
States to allow a full examination of your worldwide organization?
Yes No
e. If your organization receives an Award, can it make sufficient personnel and documentation available to share its
practices at The Quest for Excellence Conference and at your organization’s U.S. facilities?
Yes No
If you checked “No” for 8a, 8b, 8c, 8d, or 8e, call the Baldrige Program at (877) 237-9064, option 3.
If you are unable to respond to any item,
call (877) 237-9064, option 3, before submitting your form.
12
2010 Eligibility Certification Form
Page E-6 of 11
Questions for Subunits Only
f. Is your subunit recognizably different from the parent and its other subunits? For example, do your customers
distinguish your products and services from those of the parent and/or other subunits? Are your products or
services unique within the parent? Do other units within the parent provide the same products or services to a
different customer base?
Yes. Continue with 8g.
No. Your subunit is probably not eligible to apply for the Award. Call the Baldrige Program at (877) 237-9064,
option 3.
g. Is your organization a subunit in education or health care?
Yes. Check your eligibility on page 6, and proceed to item 9.
No. Continue with 8h.
h. Does your subunit have more than 500 paid employees?
Yes. Your organization is eligible to apply for the Award. Proceed to item 9.
No. Continue with 8i.
i. Is your subunit in manufacturing or service?
Yes. Is it separately incorporated and distinct from the parent’s other subunits? Or was it independent before
being acquired by the parent, and does it continue to operate independently under its own identity?
Yes. Your subunit is eligible in the small business category. Attach relevant portions of a supporting official
document (e.g., articles of incorporation), and proceed to item 9.
No. Continue with 8j.
No. Your subunit is probably not eligible to apply for the Award. Call the Baldrige Program at (877) 237-9064,
option 3.
j. Does your subunit (1) have more than 25 percent of the parent’s employees, and (2) does your subunit sell or
provide 50 percent or more of its products or services directly to customers/users outside your subunit, its parent, and other organizations that own or have financial or organizational control of your subunit or the parent?
Yes. Your organization is eligible to apply for the Award.
No. Your organization is probably not eligible to apply for the Award. Call the Baldrige Program at (877) 237-9064,
option 3.
9. Supplemental Sections
The organization has (a) a single performance system that supports all of its product and/or service lines and (b) products or services that are essentially similar in terms of customers/users, technology, workforce or employee types, and
planning.
Yes. Proceed to item 10.
No. Y
our organization may need to submit one or more supplemental sections with its application. Call the Baldrige
Program at (877) 237-9064, option 3.
10. Application Format
If your organization applies for the 2010 Award, in which format will you submit your application?
30 paper copies (due May 20, 2010) CD (due May 6, 2010)
Eligibility Package due April 6, 2010 (March 1 if you nominate an Examiner)
Award Package due May 20, 2010 (May 6 on CD)
13
2010 Eligibility Certification Form
Page E-7 of 11
11. Use of Cell Phones, Cordless Phones, and Voice-over-Internet Protocol (VoIP)
Do you authorize Baldrige Examiners to use cell phones, cordless phones, and VoIP to discuss your application? Your
answer will not affect your organization’s eligibility. Examiners will hold all your information in strict confidence and will discuss
your application only with other assigned Examiners and with Program representatives as needed.
Yes No
12. Site Listing
Align the number of sites listed and the number of employees, faculty, and staff to the information you reported in
items 7a and 7c. If your organization receives a site visit, the Baldrige Program will request a more detailed listing. Although site
visits are not conducted at facilities outside the United States or its territories, these facilities may be contacted by teleconference or
videoconference.
Example
Check one. List the % at
each site, or use “N/A”
(not applicable).
Check one or more.
List the numbers at each site.
Sites (U.S. and Foreign)
List the city and the state or country.
Number of
Employees
Sales
Faculty
Revenue
Staff
% of
Feld Hall
Freedom, TX
38 Faculty
10 Staff
40%
Stark Institute of Health Sciences
San Antonio, TX
35 Faculty
6 Staff
35%
Institute of Health Sciences
Dallas, TX
24 Faculty
5 Staff
25%
Budget
Your Organization
Check one. List the % at
each site, or use “N/A”
(not applicable).
Check one or more.
List the numbers at each site.
Sites (U.S. and Foreign)
List the city and the state or country.
Number of
Employees
Sales
Faculty
Revenue
Staff
% of
Use as many copies of this form as necessary to include all sites.
If you are unable to respond to any item,
call (877) 237-9064, option 3, before submitting your form.
14
Budget
2010 Eligibility Certification Form
Page E-8 of 11
13. Key Business/Organization Factors
List or briefly describe the following key business/organization factors. Limit your answers to the space provided, and be
as specific as possible. The Baldrige Program uses this information to avoid conflicts of interest when assigning Examiners to your
application. Examiners also use this information in their evaluations.
a. Main products and/or services and major markets served (local, regional, national, and international)
b. Key competitors (those that constitute 5 percent or more of your competitors)
c. Key customers/users (those that constitute 5 percent or more of your customers/users)
d. Key suppliers/partners (those that constitute 5 percent or more of your suppliers/partners)
e. Financial auditor
f. Fiscal year (e.g., October 1–September 30)
Eligibility Package due April 6, 2010 (March 1 if you nominate an Examiner)
Award Package due May 20, 2010 (May 6 on CD)
15
2010 Eligibility Certification Form
Page E-9 of 11
14. Nomination to the Board of Examiners
If you submit your Eligibility Certification Package on or before March 1, 2010, you may nominate one senior
member from your organization to the 2010 Board of Examiners.
Nominees are appointed for one year only. Nominees
■■ must
not have served previously on the Board of Examiners; and
■■ must
be citizens or permanent residents of the United States, be located in the United States or its territories, and
be employees of the applicant organization.
The Program limits the number of Examiners from any one organization. If your organization already has representatives on the board, nominating an additional person may affect their reappointment.
Board appointments provide a significant opportunity for your organization to learn about the Criteria and the evaluation process. The time commitment is also substantial: Examiners commit to a minimum of 114 hours from April to
December, including approximately 40 hours in April/May to complete self-study, three to four days in May to attend
Examiner Preparation, and 50–70 hours from June through September to complete an Independent and Consensus
Review. If requested by the Program, Examiners also participate in a Site Visit Review of approximately nine days.
The nominee or the organization must cover travel and housing expenses incurred for Examiner Preparation.
from our organization will serve on the 2010 Board of Examiners.
I understand that the nominee or the organization will cover travel and hotel costs associated with participation in
Examiner Preparation.
Nominee’s contact information:
Mr. Mrs. Ms. Dr.
Title
Organization
Home address
Work address
Select the preferred telephone number, fax number, and e-mail address.
Telephone
Fax
E-mail
Work
Work
Work
Home
Home
Home
Cell
If you are unable to respond to any item,
call (877) 237-9064, option 3, before submitting your form.
16
2010 Eligibility Certification Form
Page E-10 of 11
15. Fee
Indicate your method of payment for the $150 eligibility certification fee.
Check (enclosed)
Money order (enclosed)
Make payable to the Malcolm Baldrige National Quality Award.
ACH payment
Wire transfer
Checking ABA routing number: 075-000-022
Checking account number: 182322730397
Before sending an ACH payment or wire transfer, notify the American Society for Quality (ASQ; [414] 298-8789, ext. 7205, or
[email protected]). Reference the Malcolm Baldrige National Quality Award with your payment.
Visa MasterCard American Express
Card number
Authorized
signature
Expiration
date
Printed
name
Card billing
address
Today’s date
W-9 Request
If you require an IRS Form W-9 (Request for Taxpayer Identification Number and Certification), contact ASQ
at (414) 298-8789, ext. 7205.
16. Self-Certification and Signature
I state and attest the following:
(1) I have reviewed the information provided in this Eligibility Certification Package.
(2) To the best of my knowledge,
■
this package includes no untrue statement of a material fact, and
■
no material fact has been omitted.
(3) Based on the information herein and the current eligibility requirements for the Malcolm Baldrige National
Quality Award, my organization is eligible to apply.
(4) I understand that if the information is found not to support eligibility at any time during the 2010 Award
process, my organization will no longer receive consideration for the Award and will receive only a feedback
report.
Signature of highest-ranking official
Printed name
Date
Eligibility Package due April 6, 2010 (March 1 if you nominate an Examiner)
Award Package due May 20, 2010 (May 6 on CD)
17
2010 Eligibility Certification Form
Page E-11 of 11
17. Submission
To be considered for the 2010 Award, submit your Eligibility Certification Package
■■ on
or before March 1, 2010, if you include a nomination to the Board of Examiners
■■ on
or before April 6, 2010, without a nomination
to
Malcolm Baldrige National Quality Award
c/o ASQ—Baldrige Award Administration
600 North Plankinton Avenue
Milwaukee, WI 53203
(414) 298-8789, ext. 7205
Include proof of the mailing date. Send the package via
■■ a
delivery service (e.g., Airborne Express, Federal Express, United Parcel Service, or the United States Postal Service
[USPS] Express Mail) that automatically records the mailing date, or
■■ the
USPS (other than Express Mail), with a dated receipt from the post office.
If you are unable to respond to any item,
call (877) 237-9064, option 3, before submitting your form.
18
2010 Eligibility Certification Package Checklist
Malcolm Baldrige National Quality Award
1. Eligibility Certification Form
I have answered all questions completely.
I have included a line-and-box organization chart showing all components of the organization and the name of
each unit or division and its leader.
The highest-ranking official has signed the form.
For Subunits Only
I have included a line-and-box organization chart(s) showing the subunit’s relationship to the parent’s highest
management level, including all intervening levels.
I have enclosed copies of relevant portions of an official document clearly defining the subunit as a discrete
entity.
2. Fee
I have indicated my method of payment for the nonrefundable $150 eligibility certification fee.
If paying by check or money order, I have made it payable to the Malcolm Baldrige National Quality Award
and included it in the Eligibility Certification Package.
3. Submission and Examiner Nomination
If nominating a senior member to the 2010 Board of Examiners, I am submitting the Eligibility Certification
Package on or before March 1, 2010. If not, I am submitting the package on or before April 6, 2010.
I have included proof of the mailing date.
I am sending the complete Eligibility Certification Package to
Malcolm Baldrige National Quality Award
c/o ASQ—Baldrige Award Administration
600 North Plankinton Avenue
Milwaukee, WI 53203
(414) 298-8789, ext. 7205
19
North American Industry Classification System (NAICS) Codes
Please insert NAICS codes most relevant to your organization’s products and/or services on page E-3, item 6c, of the Eligibility
Certification Form. For more information about the NAICS codes, go to www.census.gov/epcd/www/naics.html.
Code
111
112
113
115
211
212
213
221
236
237
238
311
312
313
315
316
321
322
323
324
325
326
327
331
332
333
334
335
336
337
339
423
424
425
441
442
443
Sector
Crop Production
Animal Production
Forestry and Logging
Support Activities for Agriculture
and Forestry
Oil and Gas Extraction
Mining (except Oil and Gas)
Support Activities for Mining
Utilities
Construction of Buildings
Heavy and Civil Engineering
Construction
Specialty Trade Contractors
Food Manufacturing
Beverage and Tobacco Product
Manufacturing
Textile Mills
Apparel Manufacturing
Leather and Allied Product
Manufacturing
Wood Product Manufacturing
Paper Manufacturing
Printing and Related Support
Activities
Petroleum and Coal Products
Manufacturing
Chemical Manufacturing
Plastics and Rubber Products
Manufacturing
Nonmetallic Mineral Product
Manufacturing
Primary Metal Manufacturing
Fabricated Metal Product
Manufacturing
Machinery Manufacturing
Computer and Electronic Product
Manufacturing
Electrical Equipment, Appliance, and
Component Manufacturing
Transportation Equipment
Manufacturing
Furniture and Related Product
Manufacturing
Miscellaneous Manufacturing
Merchant Wholesalers,
Durable Goods
Merchant Wholesalers,
Nondurable Goods
Wholesale Electronic Markets and
Agents and Brokers
Motor Vehicle and Parts Dealers
Furniture and Home Furnishings
Stores
Electronics and Appliance Stores
Code
Sector
444 Building Material and Garden
Equipment and Supplies Dealers
445 Food and Beverage Stores
446 Health and Personal Care Stores
447 Gasoline Stations
448 Clothing and Clothing
Accessories Stores
451 Sporting Goods, Hobby, Book, and
Music Stores
452 General Merchandise Stores
453 Miscellaneous Store Retailers
454 Nonstore Retailers
481 Air Transportation
482 Rail Transportation
483 Water Transportation
484 Truck Transportation
485 Transit and Ground Passenger
Transportation
486 Pipeline Transportation
487 Scenic and Sightseeing
Transportation
488 Support Activities for Transportation
491 Postal Service
492 Couriers and Messengers
493 Warehousing and Storage
511 Publishing Industries (except
Internet)
512 Motion Picture and Sound
Recording Industries
515 Broadcasting (except Internet)
517 Telecommunications
519 Other Information Services
521 Monetary Authorities—Central Bank
522 Credit Intermediation and Related
Activities
523 Securities, Commodity Contracts,
and Other Financial Investments and
Related Activities
524 Insurance Carriers and Related
Activities
525 Funds, Trusts, and Other
Financial Vehicles
531 Real Estate
532 Rental and Leasing Services
533 Lessors of Nonfinancial Intangible
Assets (except Copyrighted Works)
541 Professional, Scientific, and
Technical Services
551 Management of Companies and
Enterprises
561 Administrative and Support Services
562 Waste Management and
Remediation Services
20
Code
Sector
611 Educational Services
6111 Elementary and Secondary Schools
6112 Junior Colleges
6113 Colleges, Universities, and
Professional Schools
6114 Business Schools and Computer and
Management Training
6115 Technical and Trade Schools
6116 Other Schools and Instruction
6117 Educational Support Services
621 Ambulatory Health Care Services
6211 Offices of Physicians
6212 Offices of Dentists
6213 Offices of Other Health Practitioners
6214 Outpatient Care Centers
6215 Medical and Diagnostic Laboratories
6216 Home Health Care Services
6219 Other Ambulatory Health
Care Services
622 Hospitals
623 Nursing and Residential
Care Facilities
624 Social Assistance
711 Performing Arts, Spectator Sports,
and Related Industries
712 Museums, Historical Sites, and
Similar Institutions
713 Amusement, Gambling, and
Recreation Industries
721 Accommodation
722 Food Services and Drinking Places
811 Repair and Maintenance
812 Personal and Laundry Services
813 Religious, Grantmaking, Civic,
Professional, and Similar
Organizations
814 Private Households
921 Executive, Legislative, and Other
General Government Support
922 Justice, Public Order, and
Safety Activities
923 Administration of Human
Resource Programs
924 Administration of Environmental
Quality Programs
925 Administration of Housing
Programs, Urban Planning, and
Community Development
926 Administration of Economic
Programs
927 Space Research and Technology
928 National Security and International
Affairs
999 Unclassified Establishments
2010 Award Application Q&A
Once I have certified my organization’s
eligibility for the Award, how do I apply?
Blank Front Cover. To help ensure confidentiality, do
not include text or illustrations.
To apply for the Award, your organization submits an
Award Application Package, which provides information
on your organization’s performance management system
and the results of its processes. This information enables
a team from the Board of Examiners to conduct a rigorous
evaluation of your organization. All information provided
is considered confidential.
Title Page. Give the name of your organization. You also
may include its address and logo, illustrations, the date,
a statement indicating that this is an application for the
2010 Malcolm Baldrige National Quality Award, and/or a
statement regarding the confidentiality of the content. Do
not include additional information, text, or links to Web
sites.
The Award Application Package contains
Labeled Tabs or Divider Pages. Use tabs or divider
pages to separate the sections listed below. On each,
include only the section title. If you include additional text
or illustrations, the pages will count toward the 50-page
limit for the Responses Addressing All Criteria Items.
■■ 30
individually bound paper copies of your
application (as well as any required supplemental
sections) or a CD containing a PDF file of the
application
■■ the
■■ Table
appropriate fees (see page 4)
■■ proof
■■ 2010
of the date you send the package (see page 26)
of Contents
Eligibility Certification Form
■■ organization
The content and formatting requirements for the application are identical whether you submit the application
on paper or on CD. See “If I submit my application on
CD, how should I assemble it?” below for instructions on
creating the CD.
■■ page
chart(s)
A-1 of the 2010 Application Form
■■ Glossary
of Terms and Abbreviations
■■ Organizational
■■ Responses
The Baldrige Program reserves the right to return incomplete submissions or submissions that do not meet the
requirements given here.
Profile
Addressing All Criteria Items
If you wish, you may also use labeled tabs or divider
pages to separate your responses to the seven Criteria
Categories.
What is the submission deadline for the
2010 Award Application Package?
Table of Contents. Indicate the page numbers for the
■■ Eligibility
To be considered for the 2010 Award, send your Award
Application Package no later than May 20, 2010, if you
submit your application on paper, or May 6, 2010, if
you submit your application on CD. Include proof of the
mailing date; see page 26 for instructions.
Certification Form
■■ organization
■■ Award
chart(s)
Application Form
■■ Glossary
of Terms and Abbreviations
■■ Organizational
What must the application contain?
■■ individual
The application contains the items listed below in the
order given. For instructions on writing the Organizational Profile and responding to the Criteria, see the
appropriate Criteria booklet for your eligibility category:
the 2009–2010 Criteria for Performance Excellence (the
Business/Nonprofit Criteria), 2009–2010 Education
Criteria for Performance Excellence, or 2009–2010 Health
Care Criteria for Performance Excellence.
Profile
Category and Item sections
You do not need to indicate the page numbers for Areas to
Address, tables, and figures.
Eligibility Form and Organization Charts. Include
these signed and stamped documents, which ASQ
returned to your organization at the conclusion of the
eligibility certification process:
■■ 2010
In your application, include information on all of your
organization’s units or subunits. Do not add links to Web
sites. Examiners base their evaluations solely on information within the application.
Eligibility Certification Form
■■ line-and-box
organization
■■ if
organization chart(s) for your
your organization is a subunit, line-and-box
organization chart(s) of the parent
21
Application Form. In each of the 30 paper copies, or in
the PDF file on your CD, include page A-1 of the form
only, ensuring that it is signed by your organization’s
highest-ranking official. This page indicates that your
organization agrees to the terms and conditions of the
Award process and that, if selected to receive a site visit,
your organization agrees to pay reasonable associated costs
(see page 4).
■■ blank
■■ title
front cover (no text, illustrations, or figures)
page
■■ labeled
■■ Table
tabs or divider pages
of Contents
■■ organization
■■ Glossary
Glossary of Terms and Abbreviations. Include terms
and abbreviations used in the application. Limit the glossary to definitions only; include descriptions of processes,
tools, methods, and techniques in the Responses Addressing All Criteria Items.
chart(s)
of Terms and Abbreviations
■■ Organizational
■■ Responses
pages)
■■ blank
Organizational Profile. This section outlines your
organization and states the key factors that influence
its operations and future directions. Examiners use this
vital part of the application throughout their review. For
guidelines on preparing this section, see the appropriate
Criteria for Performance Excellence booklet.
Profile (5 or fewer pages)
Addressing All Criteria Items (35 or fewer
back cover
How should I format the application?
To help ensure equal treatment for all applicants, format
your application according to the following requirements.
If your submission does not meet these requirements,
the Program may reject your application. After the
Program has notified you that your application has been
rejected, you will have 72 hours or until the original due
date, whichever is later, to resubmit the application in
the required format. Resubmitted applications must be
postmarked within that time frame and shipped via an
overnight delivery service.
Responses Addressing All Criteria Items. In this section, respond to each Item as a whole, using the Category
and Item designations in the 2009–2010 Criteria. In
your responses to the Areas to Address within the Items,
emphasize your organization and its performance system,
maintaining the order of the Areas. Label the Areas to
Address as in the Criteria booklets (e.g., 4.2a). You may
group responses for multiple Areas (e.g., 4.2a, b). If an
Area to Address does not pertain to your organization
or its performance system, explain why in one or two
sentences.
For an example of the required format, see www.nist.gov/
baldrige/Nightingale_College.htm.
Page Limits
The limits given below include all illustrations, figures,
tables, and appendixes. Covers, labeled tabs, and divider
pages that contain only titles do not count toward the
limits. However, if these pages contain additional material,
such as process descriptions, quotations, figures, tables, or
illustrations, they count toward the page allotment.
For guidelines on responding to the Criteria, see the
appropriate Criteria for Performance Excellence booklet.
Summary of Supplemental Section(s). If the Baldrige
Program informed you during eligibility certification
that you must submit one or more supplemental sections,
include a brief description of each section, listing the
products, services, and NAICS codes.
If any section exceeds the page limit, the Baldrige Program will ask your Official Contact Point to identify which
pages to remove.
Blank Back Cover. Do not include text or illustrations.
Supplemental Sections. If the Baldrige Program
informed you during eligibility certification that your
organization must submit one or more supplemental
sections,
Section
Organizational Profile
■■ in
your application, cover the largest group of similar
product and/or service lines that are supported by a
single performance system, and
Responses Addressing All
Criteria Items
Page Limit
(Single-Sided)
5
50
Supplemental Sections (if required)
■■ make
sure that, taken together, the application
and the supplemental section(s) cover all of
your organization’s products and/or services and
performance systems.
Summary of Supplemental Sections
2
Organizational Profile
5
Responses Addressing All
Criteria Items
Include the following for each supplemental section, in the
order listed:
22
35
Page and Text Format
In formatting the pages and text in your application, follow these requirements.
Element
Paper type
Requirement
Notes
Standard, 8½-by-11-inch
white
Two-sided printing is preferred. Please ensure that
both sides of pages are legible.
Paper orientation
Text pages
Portrait
Pages with graphs, figures,
and data tables
Portrait or landscape
Lines per page
60 maximum
Count headings and blank lines separating paragraphs, but do not count recurring page headers,
such as “Baldrige Award Application, page X.”
Leading
2 points (or the equivalent) between lines
1 point of leading equals 1/72 or 0.0138 inch.
Margins
Left (bound side)
3/4 inch minimum
Right
1/2 inch minimum
Text columns
2 (preferred)
Leave at least ¼ inch between columns.
Pages in Responses Addressing
All Criteria Items
1–50
Do not number blank pages, tabs, or divider pages.
Figures within the
Organizational Profile and
Item sections
In sequence
Use numbers corresponding to the section
(e.g., Figure P.1-1, Figure P.1-2, Figure 2.1-1,
Figure 2.1-2).
Running text
Times New Roman or
Arial, 10 points minimum
Do not use narrow, compressed, or condensed fonts.
The font and type size need not be uniform so long
as they meet the requirements.
Tables filled mainly with text
Times New Roman or
Arial, 8 points minimum
Smaller type sizes make it difficult for Examiners to
interpret the data and to provide accurate, actionable
feedback.
Other graphics (charts, graphs,
data tables, and other figures),
including titles and captions
Any font, 8 points
minimum
If you shrink graphics to fit the space available,
ensure that text in the reduced figure meets the
requirement.
Numbering
Font and type size
23
If I submit my application on CD,
how should I assemble it?
Graphics
■■ See
the font and type-size requirements in the table
above.
■■ Submit
the application in PDF format on a CD-R,
not a CD-RW.
■■ Clearly
label each figure using descriptive text. For
example, the title of the third figure for Item 7.1
might read “Figure 7.1-3 Reliability of Service:
Carrier-Dropped Calls.”
■■ Clearly
■■ Ensure
that the CD can be read from a standard
CD-ROM drive.
■■ Create
one PDF file, not multiple files, containing
the application. Select the “embed fonts” option.
label all axes and units of measure.
■■ For
information on using graphics in Category 7
(Results), see “Guidelines for Responding to Results
Items” in the appropriate Criteria for Performance
Excellence booklet.
■■ In
the PDF file, include
—— either (1) a scan of the date-stamped Eligibility
Certification Form and chart(s) you received
from ASQ or (2) an electronic version that is not
date-stamped, plus one paper copy of the datestamped documents, and
If I submit my application on paper,
how should I assemble it?
—— a scan of the completed page A-1 of the
Application Form.
■■ Securely
fasten all components of the application
to prevent separation during handling. Bind
supplemental sections separately from the
application.
■■ Do
not include page A-2 of the Application Form in
your PDF file. Instead, submit one paper copy with
your Award Application Package.
■■ Do
not use pressure-sensitive clips, binders with such
clips, or bulky ring binders or similar heavy covers.
■■ Proof
the PDF file to verify the contents and number
of pages. Also verify that the file prints properly and
that all elements meet formatting requirements when
printed. ASQ will print your application in color on a
laser-type copier/printer at a resolution of 600 by 600
and bind it with a comb binding.
■■ Do
not include video or audio material or other
information aids.
■■ Include
24
the CD processing fee of $1,250.
2010 Application Form
Page A-1 of 2
Malcolm Baldrige National Quality Award
OMB Clearance #0693-0006
Expiration Date: April 30, 2013
1. Your Organization
4. Alternate Official Contact Point
Mr. Mrs. Ms. Dr.
Official name
Name
Mailing address
Telephone
Fax
2. Award Category and Criteria Used
E-mail
a. Award category (Check one.)
5. Release and Ethics Statements
Manufacturing
Education
Service
Health care
Small business. The
larger percentage of
sales is in (check one)
Nonprofit
Release Statement
I understand that this application will be reviewed by
members of the Board of Examiners.
If my organization is selected for a site visit, I agree that
the organization will
Manufacturing
■■ host
Service
■■ facilitate
b. Criteria used (Check one.)
Business/Nonprofit
Education
Health Care
an open and unbiased examination, and
■■ pay
reasonable costs ($1,500 to $40,000) associated
with the site visit (see page 4).
If selected to receive an Award, my organization will share
nonproprietary information on its successful performance
excellence strategies with other U.S. organizations.
3. Official Contact Point
Ethics Statement and Signature of the
Highest-Ranking Official
Designate a person with in-depth knowledge of the
organization, a good understanding of the application, and
the authority to answer inquiries and arrange a site visit,
if necessary. Contact between the Baldrige Program and your
organization is limited to this individual and the Alternate
Official Contact Point. If the Official Contact Point changes
during the application process, please inform the Program.
I state and attest that
(1) I have reviewed the information provided by my
organization in this Award Application Package.
(2) To the best of my knowledge,
■■ this
package contains no untrue statement of a
material fact and
Mr. Mrs. Ms. Dr.
■■ omits
no material fact that I am legally permitted to
disclose and that affects my organization’s ethical and
legal practices. This includes but is not limited to
sanctions and ethical breaches.
Name
Title
Mailing address
the site visit,
Same as above
Signature
Overnight
mailing address
Date
Mr. Mrs. Ms. Dr.
Same as above
(Do not use a P.O. box number.)
Printed name
Job title
Applicant name
Telephone
Mailing address
Fax
Telephone
E-mail
Fax
25
Same as above
2010 Application Form
Page A-2 of 2
6. Fees
W-9 Request
Indicate the amounts enclosed. (See page 4.)
If you require an IRS Form W-9
(Request for Taxpayer Identification Number
and Certification), contact ASQ at
(414) 298-8789, ext. 7205.
Application fee
CD processing fee ($1,250,
if applicable)
Supplemental section fee
(if applicable)
Total
Indicate your method of payment.
Check (enclosed)
Money order (enclosed)
Make payable to the Malcolm Baldrige National Quality Award.
ACH payment
Wire transfer
Checking ABA routing number: 075-000-022
Checking account number: 182322730397
Before sending an ACH payment or wire transfer, notify the American Society for Quality (ASQ; [414] 298-8789, ext. 7205, or
[email protected]). Reference the Malcolm Baldrige National Quality Award with your payment.
Visa MasterCard American Express
Card number
Authorized
signature
Expiration
date
Printed
name
Card billing
address
Today’s date
7. Submission
Include proof of the mailing date. Send the package via
■■ a
delivery service (e.g., Airborne Express, Federal
Express, United Parcel Service, or the United
States Postal Service [USPS] Express Mail) that
automatically records the mailing date, or
To be considered for the 2010 Award, submit your Award
Application Package
■■ on
or before May 6, 2010, on a CD, or
■■ on
or before May 20, 2010, on paper,
to
■■ the
USPS (other than Express Mail), and include a
dated receipt from the post office.
Malcolm Baldrige National Quality Award
c/o ASQ—Baldrige Award Administration
600 North Plankinton Avenue
Milwaukee, WI 53203
(414) 298-8789, ext. 7205
26
2010 Award Application Package Checklist
Malcolm Baldrige National Quality Award
1. Award Application Package
I have included 30 individually bound paper copies of my organization’s application (and any required supplemental
sections) or a CD containing the application in printable PDF format.
2. Format
The application meets all formatting requirements.
3. Application
The 30 paper copies of the application each contain (or the CD version contains) the following sections as well as the
labeled tabs or divider pages indicated on page 21:
blank front cover
title page
Table of Contents
date-stamped copy of the Eligibility Certification Form received from ASQ or, on the CD, either (1) a scan of the
date-stamped Eligibility Certification Form received from ASQ or (2) an electronic version that is not date-stamped,
plus one paper copy of the date-stamped document
date-stamped copy of organization chart(s) received from ASQ or, on the CD, either (1) a scan of the date-stamped
chart(s) or (2) an electronic version that is not date-stamped, plus one paper copy of the date-stamped chart(s)
page 1 of the 2010 Application Form
Glossary of Terms and Abbreviations
Organizational Profile
Responses Addressing All Criteria Items
blank back cover
4. Page A-2 of the Application Form
I have included one paper copy of page A-2.
5. Fees
I have indicated my method of payment for the application fee.
If paying by check or money order, I have made it payable to the Malcolm Baldrige National Quality Award and
included it in the Award Application Package.
If submitting the application on a CD, I have included the $1,250 processing fee.
6. Submission
I am submitting the Award Application Package no later than May 20, 2010 (on paper), or May 6, 2010 (on CD).
I have included proof of the mailing date. (See page 26.)
I am sending the complete Award Application Package to
Malcolm Baldrige National Quality Award
c/o ASQ—Baldrige Award Administration
600 North Plankinton Avenue
Milwaukee, WI 53203
(414) 298-8789, ext. 7205
27
How to Obtain Baldrige National Quality Program Materials
Award Application Forms and Criteria for
Performance Excellence
the Criteria requirements and format an application; and
furnish information on scoring. Case study packets based
on fictional organizations from the business, nonprofit,
health care, and education sectors are available in PDF
format on the Baldrige Web site.
Individual Orders
You may download this document and the Criteria
for Performance Excellence booklets from www.nist
.gov/baldrige. Paper copies of this document and
individual copies of the Criteria booklets are available
free of charge from
2009 Education Case Study Packet:
Nightingale College of Nursing
www.baldrige.nist.gov/Nightingale_College.htm
2008 Manufacturing Case Study Packet:
Novel Connect
Baldrige National Quality Program
National Institute of Standards and Technology
Administration Building, Room A600
100 Bureau Drive, Stop 1020
Gaithersburg, MD 20899-1020
Telephone: (301) 975-2036
Fax: (301) 948-3716
E-mail: [email protected]
www.baldrige.nist.gov/Novel_Connect.htm
2007 Nonprofit Case Study Packet: Share Food
www.baldrige.nist.gov/Share_Food.htm
2006 Health Care Case Study Packet: Arroyo Fresco
Community Health Center
Bulk Orders
www.baldrige.nist.gov/Arroyo.htm
Packets of ten copies of the Criteria booklets are available
for $39.95 per packet (plus shipping and processing) from
the American Society for Quality (ASQ). (See “Ordering
from ASQ” on page 29.)
2005 Small Business Case Study Packet: Landmark
Dining, Inc.
www.baldrige.nist.gov/Landmark.htm
2009–2010 Criteria for Performance Excellence (Business/
Nonprofit Criteria)—Item T1525
2004 Education Case Study Packet:
Sandy Hill School District
2009–2010 Education Criteria for Performance
Excellence—Item T1526
www.baldrige.nist.gov/Sandy_Hill.htm
2009–2010 Health Care Criteria for Performance
Excellence—Item T1524
2003 Manufacturing Case Study Packet:
GeoOrb Polymers, North America
Baldrige Educational Materials
www.baldrige.nist.gov/GeoOrb.htm
Each year, the Baldrige National Quality Program develops materials to train members of the Board of Examiners
and share information on the successful performance
excellence strategies of Award recipients. The following
items are samples of these materials. For the full list, see
www.nist.gov/baldrige.
2002 Health Care Case Study Packet:
CapStar Health System
Case Study Packets
www.baldrige.nist.gov/TriView.htm
www.baldrige.nist.gov/CapStar.htm
2001 Service Case Study Packet:
TriView National Bank
Case study packets contain a case study (a fictional
Baldrige Award application), a scorebook, a feedback
report, and an executive summary. When used with the
related Criteria for Performance Excellence booklet, the case
studies are valuable resources to Award applicants and
other Criteria users. They illustrate the Award application,
review, and feedback process; show how to respond to
2000 Education Case Study Packet:
Coyote Community College
www.baldrige.nist.gov/Coyote.htm
28
Award Recipients DVD
Payment
Learn about Baldrige Award recipients’ performance
excellence journeys and role-model practices with the
Award Recipients DVD. Each DVD includes highlights
from the annual Award ceremony and interviews with
representatives from the Award recipients’ organizations.
Order DVDs from ASQ for $35.00 each (plus shipping
and processing). (See “Ordering from ASQ” below.)
Payment options include check, money order, U.S.
purchase order, Visa, MasterCard, or American Express.
Payment must be made in U.S. currency; checks and
money orders (payable to ASQ) must be drawn on a U.S.
financial institution. All international orders must be
prepaid.
Shipping and Processing
2008 Award Recipients—Item T1527
2009 Award Recipients—Item T1529
Order Amount
Quest for Excellence Conference Materials
Up to $34.99
Packaged in a Quest bag, these materials from the annual
Quest for Excellence® Conference include a Baldrige
Program Materials CD, a DVD featuring the Award
recipients, a Conference Learning Journal, and the
conference presentation slides on CD and in hard copy.
Order the 2009 conference materials from ASQ for $89.00
(plus shipping and processing). (See “Ordering from ASQ”
below.)
$35.00–$99.99
$100.00 or more
U.S.
Canada
$ 4.25
$ 9.25
6.50
11.50
12.50*
17.50*
Outside
U.S./Canada
25% of
order
amount
*If actual shipping charges exceed $12.50 ($17.50 Canadian),
ASQ will invoice you for the additional expense.
■■ Orders
within the continental United States and
Canada will be shipped by UPS when available.
Quest for Excellence XXI (2009)—Item T1533
■■ Your
credit card will not be charged until your items
are shipped. Shipping and processing are charged
once, up front, for the entire order.
Ordering from ASQ
ASQ offers four convenient ways to order:
1. For fastest service, call toll-free (800) 248-1946
in the United States and Canada (in Mexico, dial
toll-free 95-800-248-1946). Have item numbers,
your credit card or purchase order number, and (if
applicable) your ASQ member number ready.
■■ Please
allow one to two weeks for U.S. delivery and
six to eight weeks for international delivery.
2. Fax your completed order form to ASQ at (414)
272-1734.
3. Mail your order to ASQ Customer Care Center,
P.O. Box 3005, Milwaukee, WI 53201-3066.
4. Order online: www.asq.org.
29
The Quest for Excellence® XXII Conference
Virtual Quest for Excellence XXI
Each year at The Quest for Excellence, the official
conference of the Malcolm Baldrige National Quality
Award, Baldrige Award recipients share their exceptional
performance practices with worldwide leaders in business,
education, health care, and nonprofit organizations. The
Quest for Excellence XXII will showcase the 2009 Award
recipients. At the conference, you will learn about the
best management practices and Baldrige journeys of the
2009 Baldrige Award recipients, participate in educational
presentations on the Baldrige Criteria, engage in dynamic
networking opportunities, and be inspired to apply the
insights gained within your own organization. The Quest
for Excellence XXII Conference will be held April 11–14,
2010, at the Hilton Washington in Washington, D.C. For
more information, contact the Baldrige Program.
If you missed The Quest for Excellence XXI in 2009, you
can still participate virtually through videos, audio recordings, and conference materials. To access these virtual
options, see www.nist.gov/baldrige.
Baldrige National Quality Program
National Institute of Standards and Technology
Administration Building, Room A600
100 Bureau Drive, Stop 1020
Gaithersburg, MD 20899-1020
Telephone: (301) 975-2036
Fax: (301) 948-3716
E-mail: [email protected]
Web site: www.nist.gov/baldrige
Paperwork Reduction Act Statement
This questionnaire contains collection of information
requirements subject to the Paperwork Reduction Act
(PRA). Notwithstanding any other provisions of the
law, no person is required to respond to, nor shall any
person be subject to penalty for failure to comply with, a
collection of information subject to the requirements of
the PRA, unless that collection of information displays
a currently valid OMB Control Number. The estimated
response time for this questionnaire is 74 hours. The
response time includes the time for reviewing instructions,
searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of information.
Send comments regarding this estimate or any other
aspects of this collection of information, including suggestions for reducing the length of this questionnaire, to
National Institute of Standards and Technology
Attn.: Dr. Harry Hertz
[email protected]
(301) 975-2361
The OMB Control No. is 0693-0006, which expires on
April 30, 2013.
30
Baldrige National Quality Program
National Institute of Standards and Technology
United States Department of Commerce
Administration Building, Room A600
100 Bureau Drive, Stop 1020
Gaithersburg, MD 20899-1020
Telephone: (301) 975-2036 • Fax: (301) 948-3716
E-mail: [email protected] • Web site: www.nist.gov/baldrige
The National Institute of Standards and Technology (NIST), an agency of the U.S.
Department of Commerce, manages the Baldrige National Quality Program. For more
than a century, NIST has helped to lay the foundation for the innovation, economic
growth, and quality of life that Americans have come to expect. NIST promotes U.S.
innovation and industrial competitiveness by advancing measurement science, standards,
and technology in ways that enhance economic security and improve our quality of life.
Through a network of nearly 400 assistance centers that serve all 50 states and Puerto Rico,
NIST provides technical and business assistance to help smaller manufacturers overcome
barriers to productivity and competitiveness.
Call the Baldrige Program or visit our Web site for
• tools to help you improve the performance of your organization
• information on eligibility requirements for the Baldrige Award
• information on applying for the Baldrige Award
• information on becoming a Baldrige Examiner
• profiles of Baldrige Award recipients
• individual copies of the Criteria for Performance Excellence—Business/Nonprofit,
Education, and Health Care
• case studies and other Baldrige educational materials
American Society for Quality
600 North Plankinton Avenue
Milwaukee, WI 53203
Telephone: (800) 248-1946 • Fax: (414) 272-1734
E-mail: [email protected] • Web site: www.asq.org
By making quality a global priority, an organizational imperative, and a personal ethic,
the American Society for Quality (ASQ) becomes the community for all who seek quality
technology, concepts, or tools to improve themselves and their world. ASQ administers the
Malcolm Baldrige National Quality Award under contract to NIST.
Call ASQ to order
• bulk copies of the Criteria
• Award recipients DVDs
| File Type | application/pdf |
| File Modified | 2010-01-08 |
| File Created | 2009-12-07 |